Chris Rasbash DipFA, CeMAP, CeRER

Financial & Mortgage Adviser DipFA, CeMAP, CeRER at PARKER CASTLE LIMITED
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Contact Information
us****@****om
(386) 825-5501
Location
Greater Colchester Area, UK
Languages
  • English -

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Credentials

  • CeRER
    The London Institute of Banking & Finance
    Dec, 2019
    - Nov, 2024
  • CeMAP
    The London Institute of Banking & Finance
    Dec, 2016
    - Nov, 2024
  • DipFA
    The London Institute of Banking & Finance
    Aug, 2014
    - Nov, 2024
  • CeFAP
    The London Institute of Banking & Finance
    May, 2014
    - Nov, 2024

Experience

  • PARKER CASTLE LIMITED
    • United Kingdom
    • Financial Services
    • 1 - 100 Employee
    • Financial & Mortgage Adviser DipFA, CeMAP, CeRER
      • Jan 2015 - Present

      Level 4 qualified Financial Adviser, Mortgage Adviser Parker Castle provides relationship and financial planning advice including; mortgage (including equity release) and protection, investment, pension, at retirement and IHT planning and advice. Broad and dynamic home and office based role working individually as a Financial and Mortgage Adviser. Ongoing servicing to over £10 million aum. Deep knowledge of research & analysis including previous completion of customised suitability reports having previously undertaken paraplanning. Regularly meet with various providers to identify new products being made available to the market in order to provide the most up to date solutions for clients. Other activities (include adviser duel paraplanning role though to 2020): *Undertaking initial and servicing advice to generated client bank and own sourced *Attending and supporting RI's in both client meetings and completion of suitability reports; *Ensuring all Compliance requirements are documented and completed in all cases; *Research and analyse investment choices & options *Ongoing review of appropriateness and suitability of clients investment choices; *Ensure net worth, income & expenditure statement, financial cash flow forecasts documented; *Preparing & implementing recommendations; *Pre-Retirement / Post-Retirement financial research, analysis and report planning; *Pension, Investment, Protection research, analysis and report planning; *Use of various research and report systems including: ATEB, O&M, Selecta-Pension, AssureWeb, Defaqto, IRESS (The Exchange), FE Analytics; *Knowledge and day-to-day use of various providers intranet / platform sites; and *Longer Term studying towards IFS Chartered Advanced Financial Advice Diploma (Level 6 Adv. DipFa). Show less

  • RBS
    • United Kingdom
    • Banking
    • 700 & Above Employee
    • Protection Consultant
      • Sep 2012 - Jul 2014

      Financial protection advising consultant to; private, retail and business customers. Used as stepping stone to moving to full financial advice having made a career change from previous Compliance/AML roles Financial protection advising consultant to; private, retail and business customers. Used as stepping stone to moving to full financial advice having made a career change from previous Compliance/AML roles

  • MUFG
    • Japan
    • Financial Services
    • 700 & Above Employee
    • Compliance Officer
      • Feb 2012 - Aug 2012

      Compliance Control Room based. Compliance Control Room based.

  • UniCredit
    • Italy
    • Banking
    • 700 & Above Employee
    • Compliance Officer
      • Oct 2009 - Dec 2011

      Compliance Officer working with various trading, sales desks and working with all other middle and back office departments. Compliance Officer working with various trading, sales desks and working with all other middle and back office departments.

  • The CCL Partnership LLP
    • Compliance Consultant
      • Oct 2005 - Oct 2009

      Compliance Consultant role servicing full range of financial regulated firms (clients) from FCA authorisation, ongoing Compliance monitoring visits through to meeting their ongoing specific advice needs. Compliance Consultant role servicing full range of financial regulated firms (clients) from FCA authorisation, ongoing Compliance monitoring visits through to meeting their ongoing specific advice needs.

  • Goldman Sachs
    • United States
    • Financial Services
    • 700 & Above Employee
    • Compliance Officer
      • Apr 2005 - Oct 2005

      Prime Brokerage Compliance Officer Role. Prime Brokerage Compliance Officer Role.

  • ABN AMRO Bank N.V.
    • Netherlands
    • Banking
    • 700 & Above Employee
    • Compliance Financial Crime
      • Nov 2003 - Mar 2005

      AML, JMLSG, FCA based project role. Management of team to deliver global role out of new system. Based London and Amsterdam. Additional oversight cover for Client On-boarding Team. AML, JMLSG, FCA based project role. Management of team to deliver global role out of new system. Based London and Amsterdam. Additional oversight cover for Client On-boarding Team.

  • Mizuho
    • Japan
    • Financial Services
    • 700 & Above Employee
    • Compliance Financial Crime
      • Aug 2002 - Apr 2003

      As previous. As previous.

  • Commerzbank AG
    • Germany
    • Banking
    • 700 & Above Employee
    • Compliance Consultant
      • Jan 2002 - Jun 2002

      AML, JMLSG, FCA based individual based project role. AML, JMLSG, FCA based individual based project role.

  • Merrill Lynch
    • United States
    • Financial Services
    • 700 & Above Employee
    • Compliance Analyst
      • Sep 1999 - Jul 2001

      Compliance Administrator working alongside Head of Compliance supporting EMEA Private Clients. Compliance Administrator working alongside Head of Compliance supporting EMEA Private Clients.

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