The Finance and Compliance Team at Rathbone Brothers is responsible for ensuring financial integrity and adherence to regulatory standards within the investment and wealth management services. This team manages tax compliance, oversees financial planning operations, monitors compliance in financial advisory practices, and conducts risk assessments to safeguard client interests. Additionally, they provide support in client documentation and maintain quality control processes to uphold the firm's commitment to excellence in service delivery.
Alanna Mok
Tax Manager
Catherine Gallagher
Compliance Monitoring Team Lea...
Charles Mossman Dipp...
Compliance Officer - Financial...
Ellie Linden
Assistant Compliance Officer
Jack Moors
Investment Risk Manager - Prod...
Jane Fitzhenry
Compliance Monitoring Officer
Katie Giles
Financial Planning Assistant
Louise Carman
Trust Accounts & Compliance Ma...
Simon Aplin
Head Of Compliance Monitoring ...
Stephen Gibson Dippf...
Rathbones Financial Planning C...
View all