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... rules and follow the specified investment profile Ensuring FCA compliance in all aspects of investment department activities ... regulatory environment and any changes communicated by the FCA that is relevant to wealth management To ... products and understanding of the IFA industry and FCA regulation are vital. Knowledge of regulatory frameworks ...

Company: Ascot Lloyd Investment Management Job type: permanent (2 weeks ago)

... of various lines of Commercial insurance, whilst ensuring full FCA compliance. Working with a dynamic and energetic team, ... portfolio Ensuring all business activity fully complies with FCA regulation and company procedures Handle any complaints in ... products Experience of working to high standards of FCA compliance I.T. skills including use of an ...

Company: NRG. (2 weeks ago)

... various lines of Commercial insurance, whilst ensuring full FCA compliance. Overall purpose of this senior role is ... portfolio Ensuring all business activity fully complies with FCA regulation and company procedures Handle any complaints in ... insurance products Experience of working to high standards of FCA compliance I.T. skills including use of an ...

Company: Brabner Fox (2 weeks ago)

Head of Compliance & MLRO FCA registration, Compliance, MLRO Reading based £75,000 Our ... within Financial Services including holding a similar role in an FCA regulated firm. You will relish working in a fast ... support the business in its application process with the FCA Develop and implement relevant compliance screening programmes to provide ...

Company: www.cardandpaymentjobs.com (2 weeks ago)

... effective, sustainable, and fully defensible to the FCA. This role is ideal for someone who’ ... investment platforms, wealth/investing products). Strong knowledge of FCA expectations and frameworks, including Consumer Duty, suitability, ... cause analysis, end‑to‑end documentation, and FCA‑defensible evidence standards. Strong analytical skills with ...

Company: InvestEngine (2 weeks ago)

... accordance with the following Conduct Rules as specified by the FCA: - You must act with integrity - You must act ... - You must be open and co-operative with the FCA, PRA and other regulators - You must pay due regard ... will possess a good understanding of the regulatory requirements (FCA and PRA), the obligations of a certified function holder and ...

Company: Argenta Group (2 weeks ago)

... care. Here to help, whenever you need. FCA Statement We're regulated by the FCA, so some roles may be subject to ...

Company: Dignity Funerals Limited Job type: permanent (2 weeks ago)

... -life care. Here to help whenever you need us. FCA Statement The FCA regulates us so that some roles may be subject ...

Company: Dignity Funerals Limited (2 weeks ago)

... data platforms meet regulatory and best-practice expectations (GDPR, PRA/FCA, DAMA).Data Governance & Compliance Lead the enterprise data governance ... , and Power BI governance. Strong understanding of regulatory frameworks including FCA/PRA, GDPR, data risk and operational resilience.Desirable Experience with ...

Company: Dudley Building Society Job type: permanent (2 weeks ago)

... and transfers. * Keep all files audit-ready and compliant with FCA and company standards. Information & Reporting * Gather client data, quotations ... and strong verbal and written communication skills. Basic understanding of FCA regulations and Treating Customers Fairly principles. Working towards or keen ...

Company: Benchmark Capital Limited Job type: contract (2 weeks ago)

... resolve complex cases efficiently, in line with company policy and FCA regulations. Act as the customer's advocate, ensuring a positive ... ability to manage a varied workload under pressure. Knowledge of FCA regulations and customer rights is advantageous. You will be able ...

Company: Michael Page Job type: permanent (2 weeks ago)

... of Annual Suitability Assessments Maintain ongoing suitability in line with FCA requirementsTechnical Research Conduct in-depth research across investments, pensions, ... Excellent report-writing, analytical and technical research skills Understanding of FCA regulations, including ongoing suitability and annual assessments Experience conducting AML ...

Company: Reed Specialist Recruitment Job type: permanent (2 weeks ago)

... remote Requirements: strong Power BI and experience of working with FCA compliance and reporting. The Assignment: Assist in the refinement of ... an Azure data-lakehouse and preparation of FCA reports Call me, Alex Manea, at NonStop Recruitment now for ...

Company: NonStop Consulting Job type: contract (2 weeks ago)

... in achieving Chartered status and maintaining the highest standards of FCA-regulated advice. CORE RESPONSIBILITIES Provide holistic financial planning and wealth ... and internal compliance procedures. * Maintain professional standards in line with FCA requirements and the Senior Managers and Certification Regime. * Significant financial ...

Company: Front Row Recruitment Job type: permanent (2 weeks ago)

... -Money Laundering (AML) regulations and all applicable Financial Conduct Authority (FCA) requirements. Deal Execution & Administration Manage FX contract administration and ... attention to detail. Understanding of regulatory requirements, including AML and FCA frameworks (or willingness to develop this knowledge). Commercially driven and ...

Company: Ten2Two Ltd (2 weeks ago)

... Compliance Manual, policies, and monitoring programme. Ensure ongoing compliance with FCA regulations (including IPRU-INV and MIFIDPRU) and US regulatory requirements ... a buy-side legal or compliance role. Strong understanding of FCA and NFA/CFTC regulatory frameworks. Familiarity with MIFIDPRU/IPRU-INV ...

Company: tendersglobal Job type: permanent (2 weeks ago)

... files across pensions, investments, and protection Ensuring all files meet FCA regulatory requirements and internal compliance standards Providing clear and constructive ... management firm Strong understanding of UK financial planning regulations and FCA requirements Knowledge across pensions, investments, and protection advice Excellent attention ...

Company: mbf (2 weeks ago)

About Peratera Peratera is an FCA-regulated Electronic Money Institution (EMI) and an all-in-one ... integrations • Align product initiatives with regulatory and compliance requirements (EMI/FCA environment) • Define KPIs and track product performance • Coordinate cross-functional ...

Company: Peratera (2 weeks ago)

... debt, and ensure ledger accuracy, working autonomously and under established FCA CASS 5 guidelines. What you will do as an IBA ... , comfortable working across ledgers with minimal supervision Strong knowledge of FCA CASS 5 rules Confident chasing debt and resolving queries Strong ...

Company: Indesure Recruitment (2 weeks ago)

... with the Finance Manager, you will support reporting for two FCA-regulated legal entities, contribute to financial planning activities, and help ... with the Finance Manager to support financial reporting across two FCA-regulated entities, ensuring accuracy and timeliness.  Assist with month-end ...

Company: Walker Crips (2 weeks ago)