Operations & Compliance
The operations team is responsible for maintaining and developing our back office system, troubleshooting any technical errors that arise, investigating and implementing enhancements and improvements to deliver the best employee and Client outcomes.
Working closely with our compliance team, they also ensure any new requirements are enrolled into the business efficiently, effectively and in accordance to any regulatory requirements.
They are responsible for managing and distributing bulk mailings, such as our monthly investment updates (inside track), as well as key reporting into the management team in regard to the funds under management.
Working with platform providers, they ensure any external changes integrate smoothly into the systems we use and monitor to ensure any disruption to service is kept to a minimum.
Our compliance department ensures that our company adheres to external regulations and internal controls.
All of our staff play their part in that by adhering to the principles and policies of the company and taking personal responsibility for what they do. The Compliance Team supports the business by providing appropriate procedures that meet the requirements of the regulators and provide help and guidance to staff in following those rules.
This protects not just the business and clients, but staff member themselves.
Our Operations & Compliance Team
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A&J Wealth Management Ltd
© 2023 A&J WEALTH MANAGEMENT LTD A&J Wealth Management Ltd is authorised and regulated by the Financial Conduct Authority. Financial Services Register, no 428590, at www.fca.org.uk/register Registered in England, Company no: 5105933. Registered Head Office: Sawfords, Bigfrith Lane, Cookham Dean, Maidenhead, Berkshire SL6 9PH