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... on prudential reporting matters Assisting the various teams with financial projection reviews for FCA authorisations, variations of permission and change in control applications Working closely with the ... of prudential reporting in MiFID/non-MiFID firms Knowledge of the FCA Handbook, GENPRU, MIFIDPRU, IFPRU, IPRU-INV Previous experience preparing ...

Company: Thistle Initiatives (5 days ago)

... events Who are we? PDL Finance Limited. Established in 2009 and regulated by the FCA, with a proven track record for customer and employee satisfaction. What we are looking for: We are ... pressure ·        You must act with due care, skill and diligence ·        You must be open and cooperative with the FCA and other regulators

Company: MrLender.com Job type: permanent (5 days ago)

... reconciliation tasks to verify and ensure the accurate and timely transaction reporting to the FCA To maintain the required static data and submit other required data on ... Investment Management Industry primarily focusing on the delivery of regulatory reporting to the FCA, US tax reporting to the IRS and UK tax reporting to the HMRC Expert ...

Company: Cameron Kennedy (5 days ago)

... key account management, becoming their trusted advisor. Experience with taking FCA applications through to completion desirable. Behavioural Competencies Excellent communication skills to ... regulation to the business requirements of our clients. A working knowledge of the FCA handbook including MiFID II, MiFIDPRU, SM&CR and COBS. Experience/ ...

Company: Thistle Initiatives (5 days ago)

... relevant to an investment firm regulated by the Financial Conduct Authority (FCA). Core responsibilities include designing, implementing, and managing compliance policies ... Familiarity with financial markets and financial services regulations, especially those related to FCA-regulated MiFID investment firms. Skills: Strong analytical, numerical, and ...

Company: Lawson Chase (5 days ago)

... least 3 years' experience working within a compliance function of an FCA regulated, financial services, insurance or banking organisation. Experience working in a FinTech ... / quickly scaling business is advantageous. Good understanding of the FCA Handbook and Consumer Duty policy Excellent communication and relationship building skills Able ...

Company: FinTech People (5 days ago)

... Statements of Principle & Code of Practice and the relevant rules from the FCA at all times. Skills, Knowledge and Expertise Level 4 Diploma in Financial ... planning, personal and business protection, and estate planning. Knowledge and understanding of FCA suitability requirements. Excellent attention to detail. Ability to interpret complex planning ...

Company: Progeny (5 days ago)

... corrective actions where needed Act as the main point of contact with the FCA and other regulatory bodies, ensuring accurate regulatory permissions, filings, and staff registrations ... Trading environment, with exposure to institutional clients In-depth understanding of the FCA regulations, including SMCR and CASS Additional knowledge of international ...

Company: Coopman Search and Selection | B Corp™ (5 days ago)

... department at exhibitions and events. Complete required professional development to maintain FCA compliance. Underwriting Product Manager Skills & Experience Required: Experience ... documentation. Competitor analysis and insights reporting experience. Experience translating FCA compliance into actionable tasks. Excellent communicator, with strong ...

Company: C&M Travel Recruitment (5 days ago)

... stakeholders are aware of the latest regulatory expectations including FCA conduct rules and financial promotions standards. Champion the FCA Conduct and Consumer Duty rules, acting as a point ...

Company: Arthur Recruitment (5 days ago)

... the UK and will see you lead the UK the compliance function through an FCA application along with the development of applicable compliance procedures & surveillances. You ... . Key Responsibilities: Take a leading role in preparation the Firm’s FCA application and development of related procedures, surveillance and regulatory submissions. Supervise ...

Company: Coopman Search and Selection | B Corp™ (5 days ago)

... Operations Manager – London, UK "Global Futures and Options Ltd (GFO-X)”, a UK FCA-authorised and regulated MTF, is seeking an Infrastructure Engineer to join our growing ... : Making sure our end-of-day obligations is met with our CCP partner, FCA reporting, and internal controls and checks are run Significant input into new Projects, such ...

Company: GFO-X (5 days ago)

... Insurance sector with a variety of Compliance related support, from FCA authorisation applications to auditing and regulatory due diligence Maintain up to date and working ... knowledge of the FCA Handbook, the Financial Services and Markets Act and operational working of the Insurance ...

Company: Coopman Search and Selection | B Corp™ (5 days ago)

... department and ensure the Bank implements and adhere the relevant Financial Conduct Authority (FCA), Information Commissioner Office (ICO), Serious Organised Crime Agency (SOCA ... an account manager or client services role. Good knowledge and experience of FCA Regulations. Good technical knowledge of all practices and procedures relevant to on-boarding ...

Company: Additional Resources (5 days ago)

... responsible for maintaining the ERM framework, overseeing risk policies, and ensuring compliance with FCA/PRA regulations. Key Responsibilities: Ensure the ERM framework is well-designed ... address risk-related training needs across the business. Ensure compliance with FCA/PRA conduct and Consumer Duty rules. Key Skills: Enterprise & Operational risk ...

Company: Sanderson (5 days ago)

... KPIs to measure business needs and potential risks. Maintain records to demonstrate FCA compliance, from recruitment to ongoing training. Conduct weekly file checks ... systems, and identify training needs. Perform regular audits to ensure compliance with FCA regulations. Provide guidance on regulatory matters and support the Head of Compliance. ...

Company: Heat Recruitment Job type: internship (5 days ago)

... operating subsidiary in the South West Investment Group, and is regulated by the FCA. This is an exciting role to continue to drive and lead the growth aspirations ... exposure to working in a regulated business, and credentials that will ensure FCA approval. Practical experience of SME businesses and their financial circumstances. Demonstrate ...

Company: Moon Executive Search (5 days ago)

... risks and opportunities. Regulatory & Compliance Leadership: Act as the primary liaison with the FCA and other regulators, ensuring compliance with evolving financial services regulations, Commercial ... similar high-growth fintech environment Deep understanding of FCA regulations Commercially astute, with experience supporting product launches and ...

Company: Marsden (5 days ago)

... resolving regulated complaints related to Financial Planning advice. Ensuring compliance with FCA regulations and engaging with key stakeholders such as the Financial Ombudsman Service ... financial planning (DipPFS Level 4 Qualified). Strong knowledge of FCA complaints regulations and ability to handle complex cases. Excellent organisational, with the ...

Company: Mason Blake (5 days ago)

... risk.. Help to drive the implementation of compliance controls and processes, ensuring adherence to FCA regulatory Compliance, AML/CTF, and other regulations. Be a collaborative member ... you will have the opportunity to make a significant impact Knowledge of the FCA handbook, HMRC ISA rules, JMLSG and GDPR guidance To be prepared and be flexible in ...

Company: InvestEngine (4 days ago)