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... Managers and Certified IndividualsMake sure background checks meet FCA expectations and internal policyRun the annual Fitness ... earlyHelp keep regulatory references, certifications and FCA notifications on trackAutomation and AIUse AI tools ... to haveExperience in financial services or another FCA-regulated environmentWorking knowledge of SM&CR, ...

Company: Moneybox (1 week ago)

... ) with a clear runway to profitability and an FCA-authorised product live in the UK and EU. Tier ... migration starts Q2).• Own regulatory financial reporting to the FCA.RequirementsESSENTIAL• ACA / ACCA qualified, 2–4 years ... developing a small team.DESIRABLE• Prior exposure to FCA reporting.• NetSuite implementation experience.• Advanced Excel / SQL ...

Company: Newstone Talent Solutions (1 week ago)

... complaint investigations while ensuring excellent customer outcomes and adherence to FCA regulatory requirements. The Opportunity As a Specialist Complaints Handler, ... experience investigating regulated financial services complaints. Strong understanding of FCA complaint handling requirements and Consumer Duty principles. Experience dealing with ...

Company: Sanderson Recruitment Job type: permanent (1 week ago)

... tech with robust compliance, we operate in an FCA-regulated space. Our standard OTE is £80k, ... Achieve your targets and revenue objectives in a fully FCA-compliant manner. Why Our Manchester Office Works: This ... Compliance Edge: Direct, verifiable experience working within an FCA-regulated insurance or financial services environment. The Data Mindset ...

Company: The Portfolio Group Job type: permanent (1 week ago)

... delivering fair outcomes for customers, within internal SLA's and FCA timescales, while keeping Treating Customers Fairly at the heart ... Outcome. All employees must adhere to Tier 1 of the FCA Conduct Rules below : 1. You must act with integrity. ... . 3. You must be open and cooperative with the FCA and other regulators. 4. You must pay due regard ...

Company: Premia Solutions Limited (1 week ago)

... documentation accurately and in line with FCA requirements Maintain complete records of customer transactions ... business requirements Identify and escalate risks affecting FCA authorisation, compliance or regulatory standardsRequirements: We ... as a Divisional Business Manager within an FCA-regulated automotive environment Strong knowledge of vehicle ...

Company: Perfect Placement Job type: permanent (1 week ago)

... . Our Social Workers - professionally known as Family Court Advisers (FCAs) - play a vital role. You might work within Private ... the only organisation that does this kind of work, FCAs can make recommendations leading to lasting change for children ... to practice. What you'll be doing As a FCA at Cafcass, you will: Complete high quality assessments, ...

(1 week ago)

... portfolio of investment firm clients Advise on FCA regulatory matters including MiFID / AIFMD, IFPR ... SMCR Oversee regulatory advisory, compliance monitoring and FCA authorisation projects Develop and strengthen senior client ... professional services Deep understanding of the investment firms FCA regulatory environment Expertise across MiFID / AIFMD, ...

Company: Butler Rose (1 week ago)

... legislation and regulation. Acting as the firm’s FCA‑approved SMF17, the MLRO will oversee financial crime ... a senior compliance monitoring or assurance role within an FCA‑regulated firm, ideally in wealth & investment management ... . Expert knowledge of UK AML/CTF legislation and FCA regulatory requirements. Strong leadership skills with the ability ...

Company: Broadgate (1 week ago)

... evolving AI regulatory landscape — including the EU AI Act and FCA guidance — to advise clients on compliance implications as they ... that it is a Certified Role, subject to the FCA and PRA Certification Regime. The Certification Regime is one ... out their role. Under the guidance provided by the FCA and PRA, firms should have regard to the following ...

Company: Citi (1 week ago)

... appropriate training records. Support regulatory reporting and governance obligations, including FCA filings and attending board meetings. Maintain corporate governance records, ... operations, or compliance consulting within financial services. Strong understanding of FCA regulatory requirements applicable to licensed firms, including SMCR, Conduct of ...

Company: iCapital (1 week ago)

... aware that it is a Certified Role, subject to the FCA and PRA Certification Regime.The Certification Regime is one element ... carry out their role.Under the guidance provided by the FCA and PRA, firms should have regard to the following when ...

Company: Citigroup (1 week ago)

... Indemnity team, handling complex claims on behalf of SRA and FCA regulated professionals.The successful candidate will manage a varied caseload ... professional indemnity claims from inception to resolutionAct for SRA and FCA regulated professionalsAdvise on insurance law, contract law, and litigation strategyLiaise ...

Company: eNL Legal Recruitment (1 week ago)

... aware that it is a Certified Role, subject to the FCA and PRA Certification Regime.The Certification Regime is one element ... carry out their role.Under the guidance provided by the FCA and PRA, firms should have regard to the following when ...

Company: Citigroup (1 week ago)

... and compliance efforts relevant to global financial services (e.g., FCA, FINRA, SEC, GDPR, MAS, DFS 500-series, and similar regional ... operational models.Familiarity with financial services regulatory frameworks (e.g., FCA, FFIEC, NYDFS 23 NYCRR 500, GDPR, MAS TRM, DORA) as ...

Company: Houlihan Lokey (1 week ago)

... in line with LGT Wealth Planning’s procedure manual and FCA guidelines.  Accurately record client information and documentation within Intelligent Office ... in line with LGT Wealth Planning’s procedure manual and FCA guidelines.  Accurately record client information and documentation within ‘Intelligent Office ...

Company: LGT Bank (1 week ago)

... forbearance solutions where appropriateOperate within Consumer Credit Act (CCA) and FCA guidelinesEnsure all actions adhere to internal policies and regulatory requirementsHandle ... finance products and collections processes.Familiarity with regulatory frameworks (CCA, FCA)Ability to manage high-volume workloads under pressureProficiency in MS ...

Company: M2 Professional Recruitment Services (1 week ago)

... to drive continuous improvement Ensure all product features comply with FCA regulations and industry standards Lead user acceptance testing and coordinate ... stories, managing backlogs, and working with development teams Understanding of FCA regulations and compliance requirements affecting wealth management platforms Excellent stakeholder ...

Company: SS&C Technologies (1 week ago)

... requirements, including ISO 27001, UK GDPR and insurance-specific regulation (FCA/PRA, Consumer Duty, Solvency II)RequirementsBachelor’s degree (or equivalent ... haveExposure to the wider UK insurance regulatory and market landscape (FCA/PRA)Background in global system integrator environmentsFamiliarity with pre-sales ...

Company: EPAM Systems (1 week ago)

... remains at the forefront of client demand, regulatory developments (including FCA/PRA expectations), industry standards, and technological change. Knowing you’re ... capital markets), with an understanding of relevant regulatory requirements including FCA/PRA expectations on data and AI. Experience with using data ...

Company: Grant Thornton (1 week ago)