Job search

... s regulatory requirements at all times, complying with the FCA regulations and guidelines. Operate as a role model for ... knowledge of the risk and compliance requirements associated with this FCA Certification (preferred – but can be achieved in the ... care and diligence Be open and cooperative with the FCA, the PRA and other regulators Pay due regard to ...

Company: Marex (1 week ago)

... on MiCA (Markets in Crypto-Assets Regulation), UK FCA requirements, and licensing strategies across multiple jurisdictions. Corporate ... for crypto innovation, with the Financial Conduct Authority (FCA) actively developing a sandbox for digital assets. Meanwhile ... . Mention your familiarity with MiCA or the FCA's approach to digital assets if you have ...

(1 week ago)

... Advise on regulatory perimeter issues, including interaction with FCA guidance, EU MiCA framework, and cross-border ... brokers and wealth platforms, including: MiFID II FCA Rules EMIR Support regulatory analysis relating to ... propositions Support engagement with regulators (e.g. FCA) and regulatory change initiatives Wealth Management Products & ...

Company: CMC Markets (1 week ago)

... perimeter - PCI DSS, DORA, Bank of Lithuania and FCA rules - that rises every year. Working at staff / ... map PCI DSS, DORA, and Bank of Lithuania and FCA requirements into practical, automated security controls and engineering guardrails ... have worked under PCI DSS and a financial regulator (FCA, Bank of Lithuania, CSSF, or equivalent) and know ...

Company: Vinted group. (1 week ago)

... and other financial services regulations such as the FCA Consumer Duty, UK MiFID 2, the UK ... financial services regulatory knowledge, including pension regulations, the FCA Consumer Duty, UK MiFID 2, CCI, Individual ... Attorney queries and supporting bereavement matters. Familiarity with FCA Handbook Rules including the safeguarding of client assets ...

Company: Testing Site - JPMC (1 week ago)

... Ensuring compliance with the company’s regulatory requirements under the FCA, NFA, AMF, AFM, MAS. Adhere to the operational risk ... reflecting Company Values. At all times complying with the FCA’s Code of Conduct To ensure that you are fully ... skill, care and diligence Be open and cooperative with the FCA, the PRA and other regulators Pay due regard to ...

Company: Marex (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)

... 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)

... 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)

... the Bank's Legal & Compliance function. Maintaining compliance with FCA and PRA regulations. Developing and enhancing compliance policies, procedures and ... as SMF16. Strong understanding of Wholesale Banking. Experience working with FCA and PRA regulatory frameworks. Knowledge of correspondent banking environments. Fluency ...

Company: Huxley Associates Job type: permanent (1 week ago)

... to streamline report delivery. - Ensure all client interactions strictly meet FCA regulations and Consumer Duty requirements. - Maintain professional competence and continuous ... and ethical business development capabilities (essential). - Thorough working knowledge of FCA compliance standards and Consumer Duty outcomes (essential). About the business ...

Company: Premier Jobs UK Limited (1 week ago)

... and insurance products are presented appropriately and in accordance with FCA requirements. * Working closely with the sales team to maintain strong ... understanding of vehicle sales, finance products and the sales process. * FCA accreditation, or a willingness to complete the required accreditation. * The ...

Company: Pembrook Resourcing Job type: permanent (1 week ago)

... management. Compliance & Controls Ensure all income processes comply with FCA requirements and company procedures. Maintain audit trails and documentation relating ... of adviser charging, commissions, and recurring revenue models. * Knowledge of FCA-regulated environments. Personal Attributes * Highly organised and methodical. * Self-motivated ...

Company: Optima Recruitment Job type: temporary (1 week ago)

... robust audit trails and ensuring processes meet company procedures and FCA requirements Working closely with advisers, administrators, providers and the Finance ... , as would an understanding of adviser charging, commission structures and FCA-regulated environments. The ideal candidate will need to be comfortable ...

Company: Profiles Personnel Job type: temporary (1 week ago)

... escalations and complex cases through to resolution, in line with FCA complaints (DISP) rules Manage daily queues and workloads so service ... to work the queue alongside the team Working knowledge of FCA complaints handling and Consumer Duty Comfortable with data, KPIs and ...

Company: Vivo Talent Job type: permanent (1 week ago)