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... Department framework. • Ensuring compliance with the company’s regulatory requirements under the [FCA, NFA, AMF, AFM, MAS] • Adhere to the operational risk framework for your role ensuring ... of integrity and conduct and reflecting Company Values. • At all times complying with the FCA’s Code of Conduct [UK only] /Marex’s Code of Conduct [ ...

Company: Marex Group (6 days ago)

... effective way Collating finance proposals for customers To ensure full compliance to FCA guidelines on the selling of financial services products by all relevant staff ... . Skills/Experience FCA Accredited Excellent relationship building skills with internal and external stakeholders Ability to lead ...

Company: Intoloop (6 days ago)

... h Onboarding related requests during London business hours Ensure we follow FCA requirements for client onboarding where applicable and work closely with Compliance to escalate any ... perspective 2-3 years of client onboarding experience Familiarity with FCA requirements pertaining to client onboarding Bonus Points: Must have experience working at a ...

Company: Galaxy entertainment Corporation Limited (6 days ago)

... MLRO and Financial Crime Compliance role Experience either directly with FCA / PRA / BoE regulators, or with regulations and requirements associated with the FCA / PRA / BoE Knowledge and experience of best practice in financial ...

Company: Revolut (6 days ago)

... insight with key stakeholders across the financial services sector and bodies such as the FCA and HM Treasury in order to improve the whole financial services ecosystem. We also ... of the NED’s of the Financial Ombudsman Service will be made by the FCA. To find out more, please click Apply. For a confidential conversation about the role, please ...

Company: GatenbySanderson (6 days ago)

... A key focus of the role is to ensure compliance with both Lloyd’s and FCA conduct requirements, safeguard the customer journey and ensure Arch’s products offer ... standard preferred University degree (or similar) desirable Experience Working knowledge of FCA conduct/customer requirements Working knowledge of improving customer experience Experience ...

Company: Starr Underwriting (6 days ago)

... SFCR and RSR reports UK solvency submissions Stakeholder and local requirements such as FCA, IUA, and ONS data requests Management information related to regulatory ... monitoring Maintaining regulatory reporting controls and documentation Performing all duties in line with FCA Conduct Rules Performing other duties as required United behind common ...

Company: AXA UK (6 days ago)

... intermediaries Provide input and feedback on improvements to the external facing proposition. Ensuring that the FCA policy of treating customers fairly is followed as well working in accordance with 7IM ... manager and 7IM In this role, it's essential that you consistently follow the FCA's Consumer Duty principles. You're expected to act in good faith ...

Company: 7IM (6 days ago)

... to work on other projects as required. Requirements 2-5 years’ experience either within the FCA, Buy-side or Sell-side firm, Exchange/MTF, or a professional services ... management industry and the implementation of solutions to address regulatory requirements. Knowledge of the FCA Handbook and key areas of regulatory change such as MiFID II and EMIR ...

Company: Kroll (6 days ago)

... compliance with relevant UK and EU regulations, including the Financial Conduct Authority (FCA) rules, Market Abuse Regulation (MAR), relevant exchange rules and other ... practices applicable to global futures business. Familiar with the Financial Conduct Authority (FCA) rules, Market Abuse Regulation (MAR), relevant derivative exchange rules and ...

Company: CLSA (6 days ago)

... UK. You'll regularly engage with external bodies including the Financial Conduct Authority (FCA), the National Crime Agency (NCA), law enforcement, and auditors. You will also ... of Crime Act 2002 and the Terrorism Act 2000. Strong understanding of FCA expectations and the Financial Crime Guide. Practical experience with SARs, risk assessments, CDD ...

Company: Menlo Ventures (6 days ago)

... , and thrives in an ambiguous, fast-paced environment This role is regulated by the FCA and it will have specific responsibilities under those regulations. We'll explain ... (SM&CR), you'll also be subject to enhanced check and referencing in accordance with the FCA's guidelines. Ready to lead our MGA into its next phase of success? If ...

Company: Simply Business (6 days ago)

... certification, compliance with the UK Operational Resilience regulatory rules set out in FCA’s SYSC15A and will also work towards maintaining our ISO27001:2022 ... working within both Continuity standards and knowledge of operational resilience regulations (FCA & PRA) with the ability to think strategically and understand integration of legal and ...

Company: ARAG Legal Services UK (6 days ago)

... support their growth in the UK, leading the compliance function through an FCA application and developing relevant compliance procedures & surveillances. You will also ... policy implementation. Key Responsibilities Lead the preparation of the Firm’s FCA application, develop related procedures, surveillance, and regulatory submissions. Supervise ...

Company: Coopman Search and Selection | B Corp™ (6 days ago)

... deliver regulatory training and manage compliance attestations. Prepare periodic FCA regulatory reporting and respond to ad-hoc regulatory queries. Conduct ... Assessments. Person Specification: Experience in risk and compliance within financial services (FCA-regulated) Confident interpreting regulation and advising the business Excellent written and ...

Company: Eden Scott (6 days ago)

... resilience requirements set by the Bank of England, Financial Conduct Authority (FCA), and Prudential Regulation Authority (PRA). You'll be instrumental in developing, implementing, and ... , preferably in a bank or regulated entity. Knowledge and understanding of PRA, FCA and Bank of England regulations on operational resilience, including SS1/21 and ...

Company: iFAST Global Bank Ltd (6 days ago)

... Partner with Compliance to ensure HR processes, policies, and training programs meet FCA and other regulatory standards. Oversee the design and delivery of regulatory training and ... exposure to SMCR. Deep understanding of the Senior Managers and Certification Regime and FCA regulations. Strong knowledge of employment law, HR policy development ...

Company: Fidarsi (6 days ago)

... regulatory requirements and internal policies. Skills and Knowledge Strong understanding of FCA regulations and UK compliance frameworks Ability to perform under pressure and meet ... Senior Managers and Certification Regime (SMCR) and direct experience engaging with the FCA Experience with DTC (Direct-to-Consumer) financial products is essential ...

Company: Just Group plc (6 days ago)

... Review and expand existing CASS policies and procedures Maintain the CASS framework, including FCA rule mapping and controls, to ensure ongoing compliance Manage CASS relations ... with the FCA Document and report CASS breaches Advise on CASS risk management, assist in ICARA ...

Company: Austin Andrew (6 days ago)

... governance aligns with wider enterprise expectations (first-line risk ownership, FCA standards). 3. Programme & Stakeholder Management Act as the coordination lead between ... management skills, including stakeholder coordination and action tracking. Familiarity with FCA regulations (especially Consumer Duty) and first-line ownership principles. ...

Company: iFAST Global Bank Ltd (6 days ago)