Total result: 1,033
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Location: London
... overseas based compliance staff. Lead all compliance interactions with the FCA, including thematic requests, supervisory dialogues, and regulatory submissions. Responsible for ... , then please send your details to our MD, David Symes FCA, at (including a contact no) however please ...
(2 weeks ago)
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... ensure we maintain the highest standards of compliance with the FCA Client Assets Sourcebook (CASS). As part of the first line ... , developing, and executing robust testing frameworks to ensure compliance with FCA CASS regulations Interpreting and implementing CASS regulations, proactively identifying and ...
Company: Revolut
(2 weeks ago)
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Location: City of London
... UK and EU regulatory frameworks affecting asset management businesses, including FCA rules, MiFID, AIFMD and UCITS. Interpreting and implementing regulatory ... European financial services regulation affecting asset managers. Experience advising on FCA regulated activities and investment management products. Excellent technical skills combined ...
Company: Taylor Root
(2 weeks ago)
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Location: Solihull
... Asset Management to deliver effective operational strategies. Ensure compliance with FCA requirements, Consumer Duty, governance standards and operational controls. Lead, coach ... , end-of-contract processes and operational governance. Strong knowledge of FCA regulations, Consumer Duty and delivering fair customer outcomes. Organised, commercially ...
Company: BNP Paribas Personal Finance
(2 weeks ago)
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£150,000 - 210,000
Location: Greater London
... providing challenge, leadership, and direction to ensure the firm meets FCA expectations under SYSC, Consumer Duty, Operational Resilience, and Outsourcing & ... , regulatory expectations, and client outcomes. Operational Resilience — Ensure compliance with FCA operational resilience rules, including impact tolerances, mapping, scenario testing, and ...
Company: Black Swan Group
(2 weeks ago)
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£162,000 - 198,000
Location: Greater London
... function from the ground up and lead the journey toward FCA e-money authorisation. You will own policy creation, monitoring and ... for AML, sanctions and transaction monitoring, and engage with the FCA while reporting directly to the founders and Board. This is ...
Company: Harmonic Finance™ | Certified B Corp
(2 weeks ago)
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Location: London
... :Familiar with insurance or banking regulatory requirements including PRA and FCA.Connect to your business - Strategy, Risk & Transactions AdvisoryIn an ...
Company: DELOITTE
(2 weeks ago)
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Location: London
... of SEC rules and filings as a necessity, additionally to FCA. This is an excellent opportunity with a clear pathway for ...
Company: Hays
(2 weeks ago)
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Location: London
... qualifications, or University degree (or similar) desirableExperience· Working knowledge of FCA conduct/customer requirements· Experience in insurance· Experience in the Lloyd ...
Company: Arch Capital Group
(2 weeks ago)
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Location: London
... Financial Services-related employment law and regulation, including SMCR, the FCA Code of Conduct, the remuneration code, investigations, whistleblowing, people change ...
Company: Grupo Santander
(2 weeks ago)
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Location: London
... . Experience designing and operating controls testing programmes. Strong knowledge of FCA requirements, Consumer Duty and conduct risk management. Excellent root cause ...
Company: Schroders
(2 weeks ago)
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Location: London
... or financial advisory practice serving high-net-worth clients.• An FCA-approved Level 4 RDR-compliant qualification in financial planning, or ...
Company: Schroders
(2 weeks ago)
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Location: London
... with relevant regulatory frameworks, including but not limited to UK (FCA, PRA, and BoE rulemaking), European (MiCA, TATF), and global (GENIUS ...
Company: Goldman Sachs
(2 weeks ago)
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Location: London
... platforms (e.g., Kyriba, Icap, Treasury)Understanding of regulatory frameworks (FCA, PRA, FIU regulations)Background in risk management and hedging strategiesExperience ...
Company: BVNK
(2 weeks ago)
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Location: London
... investment products and investment firms across MiFID II, AIFMD, UCITS, FCA conduct rules, ESG regulations.The firm and team is going ...
Company: Chadwick Nott
(2 weeks ago)
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Location: London
... , JVs, corporate restructuringsPortfolio transfersPRA/FCAAdvising insurers, brokers, MGAs, reinsurers, other FCA regulated companiesThe successful candidate will be an E&W ...
Company: Chadwick Nott
(2 weeks ago)
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Location: London
... the Institute and Faculty of Actuaries FIA (or equivalent being FCAS, FIAA) with extensive experience within a Lloyd’s/London Market ...
Company: SCOR Global Life
(2 weeks ago)
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Location: London
... partnership / bancassurance arrangements, drafting and negotiating distribution and outsourcing agreements, FCA and PRA regulatory issues, reinsurance agreements and insurance business transfers ...
Company: Hays
(2 weeks ago)
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Location: London
... :Bring proven complaints-function leadership experience within financial services. Apply FCA DISP, Consumer Duty and Financial Ombudsman Service requirements confidently in ...
Company: Zopa
(2 weeks ago)
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Location: London
... candidates from several backgrounds.Particularly relevant experience could include:The FCA or another UK financial-services regulator, ideally within supervision, enforcement ...
Company: Barclay Simpson Corporate Governance Recruitment
(2 weeks ago)
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