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... fantastic colleagues. Your responsibilities Provide proactive advisory support, interpreting and applying FCA, TPR, and wider regulatory requirements. Lead or oversee compliance audits, control reviews ... Professional qualifications (e.g. ICA, CISI) strongly preferred. Knowledge of FCA/TPR pension rules, CASS, AML, GDPR, and investment/fund structures ...

Company: Penfold (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)

... meet and exceed performance targets Ensure all complaints are investigated and resolved in line with FCA regulations, internal policies, and industry best practices Act as point of ... banking or wider financial services sector. Strong working knowledge of FCA DISP rules and regulatory requirements around complaints handling. Demonstrable leadership ...

Company: Kroo Ltd (6 days ago)

... . UK only* As this role is caught by the Certification Regime, the role holder must adhere to the FCA’s Conduct Rules and the FCA’s Fitness and Propriety Requirements The role operates within the Project Delivery team with a ...

Company: FNZ (6 days ago)

... of management information Ensure the submission of regulatory returns to the FCA in a timely manner and respond to standard requests in a timely manner ... knowledge of financial services regulation, in particular good knowledge of FCA and European rules as well as the communication and organisational skills necessary for the role Ability to work ...

Company: Partners Capital (6 days ago)

... outcome will be successfully managing Crezco’s EMI license application with the UK FCA. Legal & compliance policies and procedures: ensuring Crezco adopts and/or implements the correct ... ensure compliance with applicable laws and standards while actively engaging with the FCA as a key stakeholder in Crezco’s future. Third-party banking partner ...

Company: Crezco Limited (6 days ago)

... monitor changes in regulation, industry best practice and market expectations (e.g. PRA/FCA, NGFS Scenarios, Climate Change Committee Updates, UK SRS), and translate these into clear ... competing priorities and deliver against timelines. Desirable Knowledge & Experience Exposure to PRA/FCA climate risk guidance (e.g. SS3/19, CP25/10) and climate ...

Company: Cynergy Bank Limited (6 days ago)

... & oversight - Manage regulatory and customer outcome reporting for our Board, underwriters and the FCA, taking ownership of recommendations and actions and seeing them through to completion. ... financial services sector, ideally in insurance; a strong understanding of the FCA Handbook and Consumer Duty; experience in a fast-growth start-up or ...

Company: Open (6 days ago)

... communication of these with clients where appropriate Adhere to all relevant FCA requirements and compliance, completing all necessary training within the required timeframe Familiarise yourself ... the relevant Senior Manager and Certification Regime Rules set by the FCA. This role will perform the following certified functions: Certification - Client ...

Company: SEI Investments (Europe) Ltd. (5 days ago)

... governance forums. Skills and Experience: In depth regulatory knowledge of FCA regulation, including knowledge of the FCA Consumer Duty. Experience in planning and executing Compliance Monitoring activities ...

Company: ziprecruiter Job type: contract (5 days ago)

... real-time infrastructure. Strong understanding of UK regulatory frameworks (e.g. FCA, CONC, affordability, TCF) and their practical application to lending and collections. Confident ... . Professional Memberships. Learning Suite for e-courses. Internal Training Programmes. FCA & Regulatory training. Hybrid Working. Casual dress code. Workplace socials ...

Company: Zilch (4 days ago)

... lying for this role must be aware that it is a Certified Role, subject to the FCA and PRA Certification Regime. The Certification Regime is one element of the Individual ... assessed as fit and proper to carry out their role. Under the guidance provided by the FCA and PRA, firms should have regard to the following when assessing fitness and propriety ...

Company: Citigroup Inc. (4 days ago)

... Committee and Boards. Maintain expert knowledge of the UK regulatory environment (FCA, PRA, Lloyd’s) and relevant global developments. Ensure all oversight and ... Agent / Syndicate). Strong knowledge of the UK regulatory environment, particularly FCA/PRA conduct and governance standards. Proven experience designing and implementing compliance ...

Company: HFG (4 days ago)

... lying for this role must be aware that it is a Certified Role, subject to the FCA and PRA Certification Regime. The Certification Regime is one element of the Individual ... assessed as fit and proper to carry out their role. Under the guidance provided by the FCA and PRA, firms should have regard to the following when assessing fitness and propriety ...

Company: Citigroup Inc. (4 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: Arch Europe Insurance Services Ltd (4 days ago)

... appetite. Ensure all financial promotions are approved in accordance with the standards set out by the FCA Ensuring that the firm have in place a robust risk-based annual compliance ... )) gained in a wealth/financial planning firm Specific understanding/knowledge of the FCA COBS/SYSC rules. An ability to lead and oversee an established compliance ...

Company: MERJE (4 days ago)

... Manager and Certification Regime, requiring ongoing vetting and compliance with FCA regulations. Successful candidates will be registered on the FCA’s Financial Services Register. If you’re ready ...

Company: Lloyds Bank plc (4 days ago)

... set forth by the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA). Ensure CAB 3rd party goods and services are sourced with the appropriate levels ... high growth environment. Proven experience in a similar role within a PRA and FCA regulated financial services environment, ideally in banking, fintech, payments or FX Deep ...

Company: Crown Agents Bank (4 days ago)

... firm’s Compliance Monitoring Programme Oversee regulatory reporting obligations (including FCA RegData returns, transaction reporting, suspicious transaction reporting, and breach notifications). ... gained in a Private Equity / Private Markets environment Practical knowledge of the FCA Handbook (particularly COBS, SYSC, MAR, FUND, and SM&CR). Strong ...

Company: MERJE (4 days ago)

... architecture principles, security policies, and regulatory expectations (e.g., FCA, PRA, GDPR). 2. Stakeholder Engagement Engage effectively with a ... to bridge business and technical conversations. Familiarity with UK regulatory standards, including FCA regulations and GDPR compliance. Experience with agile/hybrid project environments, and ...

Company: Albany Beck (4 days ago)