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... applications, including advice, credit assessments, affordability checks, and compliance with FCA regulations to ensure customers have received a good outcome and that ... initial and ongoing supervision and sign off for trainee Advisors. Always follow FCA regulations and company expectations. Support training initiatives to enhance the quality and ...

Company: ClearScore (3 days ago)

... Compliance: Support compliance with internal policies and external regulations, supporting FCA/ICO notifications and policy gap analyses. Customer Outcomes: Help review ... as SMCR, employment law, and health & safety regulations. Support compliance with FCA conduct rules and operational resilience requirements. Incident Monitoring & Response: Track ...

Company: 3C Deutschland GmbH (3 days ago)

... delivered across the business. Prepare, approve, and authorise the submission of FCA and PRA returns, notifications, and communications. Risk Responsible for managing risks ... experience in an audit role would be advantageous. Clear, practical understanding of FCA and PRA regulation and all other relevant regulations. To have experience of regulatory ...

Company: Arbuthnot Latham (3 days ago)

... , policies and procedures to manage compliance risks. Understand the implications of PRA, FCA and Lloyd’s regulations and any regulations imposed by any other relevant regulatory ... such as Lloyd’s Principles for Business, complaints reporting and contextualisation, PRA / FCA Reviews, Lloyd’s thematic and other reviews, and MAS filings. Ensuring ...

Company: American International Group (3 days ago)

... compliance-related reporting. * Work with compliance teams to respond to **FCA and internal audit requests ** efficiently. * Set up dashboards and monitoring ... manage interactions with senior stakeholders. * Experience working with **risk, compliance, and FCA reporting **. * Familiarity with **data reconciliation, documentation, and ensuring data ...

Company: Lendable Ltd (2 days ago)

... Responsibilities Ensuring compliance with the company’s regulatory requirements under the FCA, NFA, AMF, AFM, MAS and any other relevant regulatory body. Adhere ... Act with integrity. Act with due skill, care and diligence. Be open and cooperative with the FCA, the PRA and other regulators. Pay due regard to the interests of customers and treat them ...

Company: Marex Group (2 days ago)

... team are involved in vital work ensuring that the Firm fulfils all FCA requirements and maintains regulatory compliance. The Compliance Monitoring Specialist ... for Significant compliance experience within Financial Services. Strong knowledge of FCA handbooks and regulations. Analytical approach to investigations and problem solving. Self-starter wit ...

Company: Redmayne Bentley LLP (2 days ago)

... (example, ERH changes for inquiries / exams) EMEA regulatory contact quarterly refresh Processing FCA invoices and tracking submissions YoY (4-6 times a year ... ) FCA Fees & Levies submission – annual collation of data and submission on FCA portal ACR Building access quarterly audits ...

Company: Bank of America (2 days ago)

... representing clients to navigate complex challenges with regulatory bodies, including the FCA. The role will include advisory, transactional/commercial projects regulatory ... unique opportunity for the right candidate to lead the formation of a dedicated FCA specialism within our corporate defence and compliance team, with clear opportunities for ...

Company: Brabners (2 days ago)

... Division ensuring that processes are current, accurate and in accordance with FCA Regulations and the Speciality Division procedural standards. Responsibilities: Undertake ... Operations team to review internal processes and procedures to ensure compliance with FCA regulations and company procedural standards. In conjunction with wider Operations ...

Company: hireful (2 days ago)

... support of our legal partners. Take responsibility for communicating any changes that the FCA may announce throughout the year and guidelines updated accordingly. Ensure ... compliance and customer management within the financial services sector and is familiar with the FCA’s principles of business including The Consumer Duty. Has excellent written ...

Company: Santander (2 days ago)

... Team, as well as our European business. An in-depth understanding of the FCA’s regulatory requirements and regulatory posture is required to guide proactive ... at all levels and across geographies. Strong regulatory technical knowledge of FCA and European requirements, including SMCR and Remuneration. Understanding and awareness of the importance ...

Company: Vanguard (2 days ago)

... external bodies and regulators on compliance matters. Ensuring the firm complies with the FCA’s Training and Competence (T&C), acting as supervisor where necessary and providing guidance ... to any reasonable request for information made by the Financial Conduct Authority (FCA), National Crime Agency (NCA), or any other law enforcement. Establishing ...

Company: Jenson Fisher Consulting Ltd Job type: temporary (1 day ago)

... reasonable adjustments during the recruitment process. FCA Conduct Rules Under the Senior Managers and Certification Regime the FCA and Aventum expects that: You must ... You must act with due skill, care and diligence You must be open and cooperative with the FCA, the PRA and other regulators. You must pay due regard to the interests of customers and ...

Company: Aventum Group (1 day ago)

... You will be: Responsible for timely and accurate submission of regulatory reports and returns to the FCA Managing Currencycloud’s response to new regulations, laws, rules and guidance into ... advice to the business Delivering against regulatory reporting schedules (e.g. FCA reporting via RegData for EMIs and PIs) Awareness of key regulatory risks ...

Company: Visa (1 day ago)

... will have strong understanding of end to end board governance requirements for FCA and non-FCA regulated entities, and sound knowledge of corporate law. High ... secretary within financial services, ideally with first-hand experience in the governance of FCA regulated boards. Exceptional oral and written communication and an ability to liaise with ...

Company: Vistra (1 day ago)

... demonstrated ability to transfer technical knowledge to others. Up to date knowledge of FCA Regulations. Excellent interpersonal and client servicing skills. Previous experience in a ... , including those by the Financial Conduct Authority (FCA) and other bodies. Keep a comprehensive understanding of the FCA's Conduct of Business Sourcebook (COBS) and ...

(1 day ago)

... in line with our sales process Learn and retain product knowledge Adhere to FCA guidelines Requirements: Proven track record in working to targets in telesales (essential) ... overcome common objections (essential) Experience in a financial company working within FCA guidelines (beneficial) Excellent verbal communication Ambition to thrive in a sales ...

(1 day ago)

... depth knowledge of BaFin regulations, EU regulatory frameworks, and UK FCA rules for financial services. Independent & Commercially Minded: Ability to interpret complex ... : Open to candidates returning to the workforce, particularly those with previous BaFin/FCA regulatory compliance experience. Great interpersonal skills to deliver results-oriented ...

(1 day ago)

... material compliance issues. Managing regulatory requirements stemming from FCA regulations and requirements, overseeing the compliance monitoring plan, and providing advice ... and management of FCA compliance plans. Investigating and escalating significant compliance failures and managing ...

Company: Aston Charles (1 day ago)