18+
Years in investment and wealth management
SMF16
Compliance Oversight
SMF17
Money Laundering Reporting
CEO+
Reports to David Carter and the Board
Absolute Financial Group has appointed Jaspreet Dhariwal as Chief Compliance Officer, underlining its commitment to the highest standards of compliance as it focuses on building one of the UK's leading independent financial planning businesses.
She brings more than 18 years of experience to Absolute and will play a central role in its strategic growth plans, with a focus on strengthening and overseeing its compliance framework, governance and risk management.
Her strong track record in the investment and wealth management sector includes working with consolidator businesses, and she joins from Verso, where she was Chief Compliance and Risk Officer.
Experience built in consolidator models
Previously she held senior roles at firms including Vintage Wealth Management, The Oberon Group and Kingswood Group. Her experience within consolidator models will be invaluable as Absolute continues to unite high-quality advisory businesses within a unified, well-resourced structure, against a backdrop of FCA focus on consolidators via recent thematic work and reviews.
THE ROLE
Jaspreet will be responsible for Absolute's overall risk management and compliance framework, and will lead and strengthen governance, risk and compliance practices across the business.
Career background
Jaspreet joins Absolute after senior compliance and risk roles across the investment and wealth management sector.
FIRM | ROLE |
|---|---|
Verso Joins Absolute from Verso | Chief Compliance and Risk Officer |
Vintage Wealth Management | Senior compliance and risk role |
The Oberon Group | Senior compliance and risk role |
Kingswood Group | Senior compliance and risk role |
Scale, support and respect for independence
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“Jas is joining Absolute at a very exciting time, as we are building the group to become a leading force in UK retail financial advice, combining scale, support, and a deep respect for what makes independent advice essential.
“She brings highly specialised skills in compliance and risk management along with a deep knowledge of consolidation of IFA firms and growing businesses, which will strengthen our governance and control framework as we continue to grow whilst delivering the very best service to our clients.”
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“I'm looking forward to working with David and colleagues at Absolute, to further strengthen our governance, risk and compliance practices and embed them across the business as it grows.
“Absolute is committed to building a scalable business supported by appropriate operational structure, particularly across risk and compliance, to ensure it continues to meet its obligations and act in clients' best interests within this model.”
