Daniel Baron
Technical Compliance Manager @Alan Boswell Group
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WORK HISTORY
Technical Compliance Manager @Alan Boswell Group
Implementing policies and procedures and ensuring they are up to date.Completing live observations of advice meetings and providing feedback.Training new advisers on the advice process. Ensuring controls are in place to ensure the business complies with regulatory obligations.Investigation of client complaints.Providing regular reports to the Board on compliance matters.Liaising with the regulator, PI Insurers and external compliance consultants as appropriate.Training support staff completing the Diploma in Regulated Financial Planning.
EDUCATION
Institute of Financial Services
Certificate in Mortgage Advice and Practice (CeMAP) 2 & 3
De Montfort University
Post Graduate Certificate in Education
Chartered Institute of Personnel and Development
Certificate in Training Practice
The Chartered Insurance Institute
Diploma in Financial Planning
The Chartered Insurance Institute
Financial Planning Certificate (FPC) 1 - 3
The Chartered Insurance Institute
CF8 (Long Term Care)
University of Bedfordshire
Degree, Modern English Studies
SKILLS
ABOUT DANIEL BARON
CIPD qualified trainer with twenty two years’ experience in the financial services…
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