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... h a course of recommended action to Management Keeping up to date with the FCA and Industry sources to assist with providing the firm with regular updates Commercial Awareness ... Financial services background and experience highly desirable Knowledge of FCA regulations desirable Educational attainment at degree level not essential but would be ...

Company: JR United Kingdom (1 week ago)

... department Liaison with compliance services to ensure all documentation being used is correct and FCA / Provider updates are being adhered to Oversight of Investment Committee outcomes ... essary for the role as it will include reporting of records, responding to FCA requests. Regular communication and reporting will be required to the firm’s senior ...

Company: s1jobs (1 day ago)

... informal knowledge sharing and training to colleagues. Key Responsibilities FCA Function Understand and comply with the requirements and expectations of the FCA’s individual conduct rules (COCON 2.1 ... manager conduct rules (COCON 2.2 Senior manager conduct rules - FCA Handbook). Client Service Within a client service team structure, lead or support ...

Company: Grosvenor Group (1 day ago)

... reference. • Oversee the preparation and submission of all regulatory returns to PRA and FCA, including COREP, FINREP, and FSA reports. • Ensure the production, ... by the Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA). The successful candidate must demonstrate fitness and propriety in accordance with the Senior ...

Company: Bank of Ceylon (UK) Limited (1 day ago)

... Compliance & Regulatory Support Work with the CEO and legal advisors to translate FCA licensing requirements into technical specifications: data encryption, audit trails ... and maintain documentation (architecture diagrams, runbooks, security policies) required for FCA sandbox applications and EMI license submissions. 6.     Roadmap & Scalability ...

(6 days ago)

... , and fostering engagement with the business. This role is in scope of the FCA Senior Manager & Certification Regime. This appointment is subject to regulatory ... appetite Perform role always ensuring adherence to the expected behaviours stated in the FCA Conduct Rules Knowledge, Skills and Experience: Significant experience as a risk, governance ...

Company: Brooks Macdonald Job type: permanent (1 week ago)

... guidance to senior stakeholders, including the Executive team and Board Oversee compliance with FCA, Gambling Commission, and broader legal obligations Advise on financial crime, ... specialism, ideally gained in-house or in private practice Strong experience with FCA, consumer credit/consumer duty and motor finance Commercial mindset with excellent ...

Company: JR United Kingdom Job type: permanent (5 days ago)

... of regulatory requirements across the UK insurance landscape, including Lloyd’s and FCA regulations. The role will support the delivery and enhancement of their compliance ... programs to staff across all levels. Liaise effectively with regulators (Lloyd’s, FCA, PRA) and represent the compliance function in regulatory interactions. About You: ...

Company: Arthur Recruitment (1 week ago)

... assessed as fit and proper to carry out their role. Under the guidance provided by the FCA and PRA, firms should have regard to the following when assessing fitness and propriety ... as fit and proper to carry out their role. Under the guidance provided by the FCA and PRA, firms should have regard to the following when assessing fitness and propriety ...

Company: Citibank (Switzerland) AG (1 week ago)

... and establish a strong accounting function in the UK with knowledge of local FCA financial compliance matters under the AIFMD. Close coordination with local Consultants ... any potential compliance risks Collaborate with compliance teams to ensure alignment with FCA standards across all financial operations. Provide support to the Finance Director in ...

Company: General Atlantic (4 days ago)

... the Money Laundering Reporting Officer (MLRO) for the company regulated by FCA (UK) Lead the development and implementation of AML/CTF and risk management frameworks ... policies aligned with UK and EU regulatory standards Communicate directly with the FCA, including managing audits and regulatory reporting Oversee risk assessments for clients, ...

Company: Evotym (4 days ago)

... guidance to senior stakeholders, including the Executive team and Board Oversee compliance with FCA, Gambling Commission, and broader legal obligations Advise on financial crime, ... specialism, ideally gained in-house or in private practice Strong experience with FCA, consumer credit/consumer duty and motor finance Commercial mindset with excellent ...

Company: JR United Kingdom (3 days ago)

... 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: JR United Kingdom (2 days 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 Customers ...

Company: 7IM (2 days ago)

... ensuring that our marketing materials and communications, across all channels, are compliant with the FCA rules on Systems and Controls (SYSC), and adhering to Consumer Duty directives, ... authority within our marketing and comms team. Ensure all marketing output adheres to FCA guidelines, regulations and Consumer Duty. Be the marketing team’s owner ...

Company: Charles Stanley & Co. (2 days ago)

... , Jeep and Fiat Professional Van franchises with dealerships in Canterbury and Maidstone. FCA are planning further growth with exciting Plug-in-hybrid and fully electric models ... Jeep and Fiat Professional Van franchises with dealerships in Canterbury and Maidstone. FCA are planning further growth with exciting Plug-in-hybrid and fully electric models ...

(2 days ago)

... Experience Experience in working and performing in a telesales role, preferably within an FCA regulated company, though not essential. Dynamic Sales Person - Used to fast ... strict guidelines and regulations set forth by the Financial Conduct Authority (FCA). We are committed to maintaining the highest standards of integrity and professionalism in all ...

Company: hometree.co.uk (1 day ago)

... combines regulatory oversight with operational leadership, ensuring both FCA compliance and the effective delivery of support functions across paraplanning ... handling of complaints in accordance with FCA guidelines, ensuring effective resolution. Support all communications and reporting requirements with the FCA and other regulatory bodies. Act as ...

Company: Clayton Davies (1 day ago)

... reasonable adjustments during the recruitment process. FCA Conduct Rules Under the Senior Managers and Certification Regime the FCA and Aventum expects that: You must ... 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: Aventum Group (1 week ago)

... reasonable adjustments during the recruitment process. FCA Conduct Rules Under the Senior Managers and Certification Regime the FCA and Aventum expects that: You must ... 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: Aventum Group (1 week ago)