Job search

... strategies and products Regulatory Alignment Ensure governance processes align with FCA regulatory expectations Support preparation of board documentation and investment reporting ... leadership capability About Diagram Capital Diagram Capital Ltd is an FCA‑authorised investment firm providing non‑discretionary investment management and advisory ...

(1 day ago)

... technical accuracy. You will ensure our outcomes align strictly with FCA regulatory standards and the Proceeds of Crime Act (POCA). Holistic ... investigation that is technically accurate, fully documented, and compliant with FCA expectations, Consumer Duty and the Proceeds of Crime Act (POCA ...

Company: Capital on Tap (1 day ago)

... lead engagements with investment firms, offering senior regulatory advice on FCA and SEC obligations. The ideal candidate will have experience in ... financial services and strong technical knowledge of FCA regulations. You will oversee compliance monitoring, lead client relationships, and ...

Company: Cosegic (1 day ago)

... accordance with the following Conduct Rules as specified by the FCA: - You must act with integrity - You must act with due ... diligence - You must be open and co-operative with the FCA, PRA and other regulators - You must pay due regard to ...

Company: Argenta Group (1 day ago)

... buyers and stakeholders. Support post-acquisition integration, ensuring alignment with FCA requirements and internal compliance frameworks. Collaborate with legal, finance, and ... operational teams throughout the acquisition process. Stay current with FCA regulations and guidance affecting financial advice and wealth management. Do ...

Company: Clayton Davies (1 day ago)

... ; Governance Ensure procurement and vendor oversight activities are aligned with FCA, LGPS pooling requirements, and internal policies. Contribute to audits, compliance ... procurement processes. About Us LGPS Central (LGPSC) Ltd is the FCA regulated asset manager for eight local authority pension funds across ...

Company: LGPS Central (1 week ago)

... and regulatory requirements Maintain a CPD record in line with FCA requirements for regulated individuals Generate reports and summaries of thematic ... , then please send your details to our MD, David Symes FCA, at (including home address or post code ...

(1 week ago)

... financial services regulation, including provision of clear guidance on relevant FCA Handbook requirements, the Financial Services and Markets Act and other ... provider. Good knowledge of UK regulatory fundamentals, such as the FCA Handbook, FSMA, UK MiFID, MAR, SMCR and related conduct and ...

Company: JMC Legal Recruitment (6 days ago)

... delivering the Private Banking governanceframework across the business, aligned to FCA/PRA expectations and internal policies. Key Responsibilities Track and drive ... /controls (1st line and/or 2nd line) Good understanding of FCA conduct expectations (including Consumer Duty), operational risk, and governance best ...

Company: Emirates NBD (6 days ago)

... & Governance: Developing risk and compliance policies; ensuring adherence to FCA Conduct rules (Affordability, TCF) and AML/KYC guidelines. Financial Analysis ... background in Financial Services, specifically within Lending, Structured Finance, or FCA-regulated environments. Technical Proficiency: Advanced MS Office skills (Excel, Word ...

Company: RCQ Associates - Financial Markets Specialists (6 days ago)

... ;C scheme for Mortgage and Protection Advisers, ensuring compliance with FCA requirements. Conduct regular 1:1 supervision meetings, competency assessments, and ... reporting, complaint investigations, and root-cause analysis. Keep abreast of FCA rules (e.g., MCOB, ICOBS, Consumer Duty) and translate them ...

Company: F S People Ltd (Financial Services recruitment specialists) Job type: internship (6 days ago)

... & Compliance • Maintain strong underwriting and pricing governance aligned with FCA requirements including Consumer Duty • Ensure full compliance with delegated underwriting ... within an MGA or delegated authority environment • Strong understanding of FCA regulation and Consumer Duty requirements • Proven experience managing portfolio performance ...

Company: Change Recruitment (6 days ago)

... matters across UK, US, and offshore structures • Oversee regulatory compliance (FCA, SEC, AIFMD, SFDR) and financial crime controls • Advise Board and ... with fund formation and limited partnership structures • Working knowledge of FCA and SEC regulatory frameworks • Understanding of AIFM/AIFMD, SFDR, and ...

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

... Binder Authority agreements and internal standards. Ensure compliance with the FCA regulations. Support the Compliance Team to meet internal and external ... balance risk and profitability. Knowledge of relevant regulations (e.g., FCA guidelines in the UK, GDPR for data handling). Experience ensuring ...

Company: Touchstone Underwriting (6 days ago)

... checks to ensure all advice provided by their advisers meets FCA standards, internal policies, and industry best practice. Role & Responsibilities ... . Ensure all advice is suitable, clearly documented, and compliant with FCA rules and the firm’s internal processes. Provide clear, constructive ...

Company: Clayton Davies (6 days ago)

... established, successful event-driven and macro hedge fund, regulated by FCA and SEC, is now looking for a Compliance Analyst to ... shape future policies and procedures; Helping prepare the firm with FCA and SEC filings and quarterly/annual reviews, respectively; Assisting across ...

Company: Arbuthnot Yon (6 days ago)

... Identify inconsistencies, risks, and opportunities for simplification Ensure alignment with FCA and broader regulatory requirements (e.g. conduct, deferral, clawback) Partner ... in sales incentives and variable pay structures Experience operating in FCA-regulated environments Strong analytical capability across incentive mechanics and financial ...

Company: Bruin (6 days ago)

... supplier contracts. Provide guidance on UK financial services regulation (including FCA rules, COBS, PROD, Consumer Duty/Consumer Credit, and platform specific ... digital investment platforms. Expertise in UK financial services regulation, particularly FCA rules impacting retail investment products. Comfortable working in a fast ...

Company: Taylor Root (5 days ago)

... and emergency preparedness Ensure alignment with regulatory expectations (e.g. FCA/PRA, Operational Resilience policy, ISO standards) Deliver clear and insightful ... understanding of UK regulatory frameworks and industry standards (e.g. FCA/PRA, ISO 22301) Experience leading incident and crisis management responses ...

Company: Edenbrook (5 days ago)

... International and cross-border business Assist with regulatory reporting and FCA engagement Contribute to governance processes, including committees and MI production ... within an MGA, broker, or insurer (essential) Good understanding of FCA requirements and the UK regulatory framework Exposure to delegated authority ...

Company: IDEX CONSULTING LTD (5 days ago)