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... Committees and entity Boards. What you will do Help to coordinate the annual FCA Assessment of Value including: Project manage the assessment process and maintain ... Familiarity with UK and EU regulation relating to asset management, for example AoV, MiFID, FCA Consumer Duty. Wider experience within investment/asset management business. Experience wit ...

Company: Schroders Recruitment (2 weeks ago)

... that are assigned to you. Act in the best interest of clients ensuring the FCA’s requirements and Company policies in relation to Treating Customers Fairly, MiFID ... status. Other relevant information: Comply with the following at all times: FCA Rules and Principles. FCA Statements of Principle for Approved Persons. The principles of Treating ...

Company: Seven Investment Management LLP (2 weeks ago)

... and training Manage ad hoc compliance projects, such as obtaining new FCA or other regulatory permissions and launching new regulated and unregulated products. Lead ... including to the Board, and assist with the submission of the reports required by the FCA reporting regime. Lead cross-functional projects with multiple colleagues to proactively ...

Company: Credit Karma, Inc. (2 weeks ago)

... Certified & Senior Manager Fitness & Propriety programme (including FCA regulatory filings) Managing the Firm’s FCA regulatory reporting calendar Monitoring the Firm’s ... Ability to communicate effectively with both internal and external stakeholders Knowledge of FCA Senior Manager & Certified regime Familiarity with compliance testing and Code of ...

Company: Compliance Professionals (2 weeks ago)

... information, disciplinary record and any other data we are required to collect to meet the prevailing FCA regulations. - Legal basis: legal obligation. • We make sure you have the ... and Barring Service (the “DBS”), background checks (including identity, credit, FCA, Media & Sanctions checks) and reference checks on our behalf (read Personnel ...

Company: LHV Bank Limited (2 weeks ago)

... ensuring the firm is in compliance with its obligations under the Financial Conduct Authority (“FCA”), CASS and similar regulations imposed by other regulators where we have ... client asset reconciliations including custody asset and client money for the FCA and equivalent for overseas regulated firms where CMC UK performs the reconciliation as a ...

Company: CMC Markets (2 weeks ago)

... clear and consistent technical advice and guidance to colleagues in respect of the FCA’s rules. Developing, updating and implementing the firm’s compliance ... policies and procedures. Preparing and maintaining employee certifications in accordance with the FCA’s Senior Management Certification Regime. Proactively review the implications and ...

Company: Compliance Professionals (2 weeks ago)

... insurers, and asset managers to help them understand the regulatory implications of the FCA's new Consumer Duty. Lead regulatory change programmes, develop ... with skills and experience in one or more of the following areas: Knowledge and understanding of FCA conduct regulation frameworks as applied to one or more FS sectors, for example banking, ...

Company: Astro Studios, Inc. (2 weeks ago)

... industry standards and expectations of management, auditors, and the Financial Conduct Authority (“FCA”), covering all regulatory risk overseen by General Compliance notably including Product ... upcoming Consumer Duty and other conduct related matters under MIFID II/FCA Handbook. Design queries, testing sheets and conduct analysis of processes’ ...

Company: Interactive Brokers Group, Inc. (2 weeks ago)

... Responsibilities Ensuring compliance with the company's regulatory requirements under the FCA. Adhere to the operational risk framework for your role ensuring that ... Act with integrity. Act with due skill, care and diligence. Be open and cooperative with the FCA, the PRA and other regulators. Pay due regard to the interests of customers and treat them ...

Company: Marex (2 weeks ago)

... companies Duties * Support overall compliance program. * Focus on requirements under FCA regulatory licences. * Regulatory reporting in accordance with Open Banking & Payments ... -focus' areas such as regulatory reporting, customer complaints & notifications as per FCA and PSD2 guidelines. Benefits * Global company and great support. * Long contract ...

Company: CV-Library (2 weeks ago)

... directly with the owners and existing compliance staff to ensure the company adheres to FCA guidance and the company's own in-house policies. Your expertise in effective ... compliance role within the financial services sector. In-depth knowledge of the FCA standards and regulations. Excellent knowledge of reporting procedures and record keeping ...

Company: Artemis Recruitment Consultants Ltd (2 weeks ago)

... identify and develop new accounts within a specified Region, operating strictly within FCA Regulations. Overview of Responsibilities To achieve agreed sales and business objectives ... Company’s selling practices and methods in accordance with FCA rules. Experience / Skills In depth knowledge of FCA Regulations, gained in a similar sales environment ...

Company: La Esperanza Child Development Center, LLC. (2 weeks ago)

... Duties * Support overall compliance program. * Focus on requirements under FCA regulatory licences. * Regulatory reporting in accordance with Open Banking & ... such as regulatory reporting, customer complaints & notifications as per FCA and PSD2 guidelines. Experience * FCA Regulatory reporting experience * Compliance management & auditing * Knowledge ...

Company: CV-Library (2 weeks ago)

... Duties * Support overall compliance program. * Focus on requirements under FCA regulatory licences. * Regulatory reporting in accordance with Open Banking & ... such as regulatory reporting, customer complaints & notifications as per FCA and PSD2 guidelines. Experience * FCA Regulatory reporting experience * Compliance management & auditing * Knowledge ...

Company: CV-Library (2 weeks ago)

... A wide range of applications and filings including those with the PRA, FCA and other regulatory agencies, Companies House, LEI and UK ICO. Drafting resolutions, ... preferred: In-house experience at insurance company/other financial services firm. PRA/FCA experience; ACPR experience also useful. Familiarity with Diligent/other Board applications ...

Company: ASSURED GUARANTY MUNICIPAL (2 weeks ago)

... to derive insights into their value and compliance with FCA regulations. Regulatory Compliance: Ensure that the assessment adheres to FCA regulations, guidelines, and reporting requirements, staying updated ... environment. This role is subject to the Conduct Rules set by the FCA. Don’t meet every requirement? At Jupiter we are dedicated to building ...

Company: Jupiter Asset Mgmt (2 weeks ago)

... matters Lead the implementing and monitoring of appropriate policies for compliance with FCA regulations with the wider compliance team Training to the team on compliance and quality ... matters Supporting the compliance team with any FCA interactions related to the Financial Planning team Ensuring key risks and ...

Company: Idex Consulting (2 weeks ago)

... sources. Ensure compliance with the company's regulatory requirements under the FCA, NFA, AMF, AFM, MAS and any other relevant regulatory body. Adhere to ... t: Act with integrity. Act with due skill, care and diligence. Be open and cooperative with the FCA, the PRA and other regulators. Pay due regard to the interests of customers and treat them fai ...

Company: Marex (2 weeks ago)

... strict adherence to company policies regarding Financial Crime, TCF, GDPR and FCA regulations Maintain and extend professional relationships with intelligence suppliers, professional ... full training and continuous coaching in house you will be given full in-depth FCA regulated industry knowledge and have all the tools necessary to help you personally ...

Company: Acorn Insurance and Financial Services Limited (2 weeks ago)