Tom N.
Compliance Manager @Canaccord Wealth
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WORK HISTORY
Compliance Manager @Canaccord Wealth
London, GB
Compliance advisory manager with focus on suitability, chair of the conduct working group and a client vulnerability champion.
EDUCATION
Brunel University of London
BSc (Hons) , Management Studies
SKILLS
ABOUT TOM N.
Accomplished Risk & Compliance manager bringing a strong operational background, with proven success advising business partners on new business initiatives, regulatory developments and major operational and system changes. Extensive track record of driving the development and implementation of appropriate mitigation control measures within major buy-side financial institutions. Proficiencies include:* Monitoring* Advising Senior Management * Strategy Implementation * Multi-jurisdictional * Suitability * Error handling & analysis * Policy Development * Thematic Reviews * Relationship Building * High Quality Communication * Decisiveness * Pragmatism
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