Experience
Sarah brings extensive experience from several large financial advisory firms. Having previously been an advisory compliance manager responsible for all aspects of ongoing monitoring, she has also been involved in overseeing a number of compliance support areas and been engaged in several business projects in order to provide regulatory guidance and assistance required by other internal business teams.
Other experience includes; undertaking specialist reviews of firms' processes and controls, including ahead of the introduction of new regulations, including a full gap analysis of a firm's business processes and governance controls, and incorporating the application of the Senior Managers Certification regime; creating Compliance Monitoring Programmes, applying firm-specific requirements, and undertaking the compliance reviews required as part of the Compliance Monitoring Programme; writing and reviewing compliance policies and associated manuals; and providing regulatory advice, updates and training to various audiences, including senior management teams.
Sarag hold the CII's Diploma in Financial Planning, and the Level 6 CISI Diploma in Investment Compliance.