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... See below). Any confirmed breaches of the Conduct Rules will be reported to the FCA annually. Should you apply for a Certified role in another financial services ... You must act with due care, skill, and diligence You must be open and cooperative with the FCA, the PRA and other regulators You must pay due regard to the interests of customers and treat ...

Company: London & Country Mortgages (4 days ago)

... of working for the Financial Conduct Authority (FCA) and / or advising firms and individuals regulated by the FCA and a deep knowledge of the FCA’s regulatory framework. You will ... and authorisation / approval cases Experience advising firms and individuals regulated by the FCA An ability to get up to speed quickly on matters (including new ...

Company: Kingsley Napley (5 days ago)

... regulatory requirements and internal policies Be the primary point of contact for the FCA Maintain, monitor and develop the risk management framework, collaborate with colleagues ... similar or related role Experience working in a compliance role for an FCA regulated business Experience overseeing risk management frameworks and reviewing/reporting ...

Company: Austin Andrew (5 days ago)

... manager Mandatory completion of company-prescribed learning and adherence to FCA rules. Compliance with all company procedures Role Requirements Familiarity and ... must act with due skill, care and diligence. You must be open and cooperative with the FCA, the PRA and other regulators. You must pay due regard to the interests of customers and ...

Company: Consilium Insurance Brokers (4 days ago)

... the UK and the prudential supervisor for 48,000 firms. Division: Enforcement About the FCA: The FCA regulates the conduct of 45,000 firms in the UK to ensure our financial markets ... EISS) provides strategic and highly specialised central support to EMO and the wider FCA. The Digital Forensics Unit within EISS provides comprehensive digital evidence ...

Company: Financial Conduct Authority Job type: contract (5 days ago)

... essary updates to policies and procedures. Serve as primary point of contact with the FCA, SEC and other regulatory and risk reporting requirements. Staying abreast of emerging ... experience in financial services compliance and risk management, with a focus on FCA regulations and requirements. Essential: Strong knowledge of financial products, services ...

Company: Unbiased (4 hours ago)

... Role: Investigate and respond to escalated non-regulated vehicle quality complaints in line with FCA regulations, being always empathetic Record and input complaints into our CMS Feedback to other ... the ability to plan and prioritise your own workload An understanding of FCA regulations and a working knowledge of the Financial Ombudsman Service ...

Company: Zuto (5 days ago)

... to determine and shape the future of the company As a Certified Individual under the FCA’s Senior Managers Certification Regime, you will be responsible for ensuring ... Familiarity with CRM tools and strategies to ensure long-term client retention Meet the FCA’s minimum requirements for passing a “fit and proper person” though our background ...

Company: Porsche Retail Job type: permanent (6 days ago)

... material compliance issues · Managing regulatory requirements stemming from the FCA regulations and requirements, overseeing the compliance monitoring plan, and providing ... advice and management of FCA compliance plans, among other duties · Investigate and escalate significant compliance ...

Company: SF Recruitment Job type: permanent (5 days ago)

... the companies ever-evolving product offerings, giving accurate info while following FCA guidelines. Promote products and services in a non-advisory role, focusing on information ... customer service and a love for multitasking. You're comfortable working within FCA guidelines and enjoy staying organised while balancing multiple priorities. Bonus ...

Company: Tate Job type: permanent (5 days ago)

... and promotional events to drive customer engagement and sales. Comply with all FCA regulations if trained, ensuring all financial and regulated business processes are followed ... knowledge with the ability to convey this to customers confidently. FCA certification (or willingness to complete FCA training if not already completed). Full driving license ...

Company: Contract Personnel Limited Job type: permanent (5 days ago)

... . In this pivotal role, you will: * Drive the ongoing integration of FCA expectations concerning Consumer Duty and Vulnerable Customers across the enterprise. * Ensure ... and potential harm from products and services if not managed appropriately, adhering to FCA rules, guidance, industry best practices, and company policies. * Collaborate with legal ...

Company: IT Talent Solutions Job type: contract (4 days ago)

... are investigated, addressed promptly, and resolved in line with company policies and FCA regulatory requirements. Maintain a focus on continuous improvement, identifying ... accurate and timely updates Ensure all investor interactions are recorded in line with FCA regulations, maintaining accurate records and adhering to data protection requirements ...

Company: Curve Group Holdings Ltd Job type: permanent (4 days ago)

... Laws , within the regulated insurance sector. You have familiarity with GDPR and the FCAs data protection guidelines. Ideally, this expertise has been developed through experience ... and their application within a regulated environment. Technical knowledge of the FCA Handbook , Lloyds Principles , and principles-based regulatory frameworks. Proven ...

Company: Arthur Recruitment (3 days ago)

... current Group policies and process, ensuring the Group remains compliant with CASS FCA regulations. Reporting into the Head of IBA Audit and Controls the successful ... and prevent future occurrences. Responsible for timely, effective controls & reconciliations as per the FCA requirements across various Group bank accounts including client money ...

Company: pib Group Job type: permanent (3 days ago)

... Ownership and handling of consumer and commercial property claims in accordance with FCA requirements and authority levels Ensuring stakeholders are regularly engaged and updated with ... communication skills, both verbal and written Comprehensive knowledge of FCA obligations relevant to insurance provision People management experience Adaptable and ...

Company: Knight Square Insurance Limited (6 days ago)

... services within a 2nd line back-office compliance role. Solid understanding of the FCA Handbook, including Consumer Duty, SM&CR, CASS, and ESG regulations. Proficient ... skills to deliver face-to-face compliance training effectively. Ability to manage FCA Reg Data and FCA Connect reporting and notifications. If you're ready to advance your ...

Company: Deerfoot Recruitment Solutions (5 days ago)

... quality metrics. Managing escalated customer queries and complaints, including executive, press, FCA and other high profile/risk complaints. Championing best practice in complaints management ... reporting return submissions process and internal socialisation of HL's FCA metric performance vs peers. Owner of complaints governance meetings and regular ...

Company: Hargreaves Lansdown Asset Management Limited (5 days ago)

... role: Advising and monitoring compliance by the Society with all current and future FCA requirements in all areas of responsibility (and reviewing other regulatory updates) ... complaints are handled in the appropriate timescales and investigated properly Looking after FCA returns Overseeing Risk Management Framework (design, maintenance and ongoing ...

Company: Pure Human Resources Ltd (4 days ago)

... plans and dental schemes), in line with the Financial Conduct Authoritys (FCA) rules and procedures. Key Responsibilities: Provide advisory services to new and existing ... new client opportunities. Attain and maintain competent status as defined by the FCA. Maintain performance standards in accordance with the Key Performance Indicators outlined in ...

Company: TEMPLEGATE RECRUITMENT LIMITED (3 days ago)