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... certified colleague your details will be published on the FCA’s Financial Services Register. This role has been identified ... under SYSC 27.8.13R as defined in the FCA Handbook(1) The function of managing or supervising a ... certification employee, directly or indirectly, is an FCA‑specified significant‑harm function.(2) A function in (1) ...

Company: Lloyds Banking Group (3 days ago)

... identifying suspicious transactions, and ensuring adherence to FCA and other regulatory frameworks. MLRO & ... reviews, requests, and ongoing interactions with the FCA. Familiarity with UK operational resilience, business continuity ... certain controlled responsibilities may be subject to FCA fit and proper assessments applicable to Electronic ...

Company: Brite Payments (3 days ago)

... , sanctions and financial crime controls and reporting obligations Manage FCA communications, regulatory submissions and supervisory interactions Ensure ongoing compliance ... and regulatory awareness across the business Qualifications Significant experience within FCA-regulated investment management, wealth management or alternative investment firms ...

Company: FD Capital Recruitment (3 days ago)

... handled fairly, thoroughly, and in line with FCA DISP regulations,  Complaint Management Policies, and clients’ ... resolve complex cases. Ensure all complaint handling meets FCA DISP, data protection, and internal governance requirements ... understanding of customer service best practice. Knowledge of FCA DISP rules and TCF principles. Experience writing ...

Company: Teleperformance (2 days ago)

... looking for at least 2 years experience working in an FCA regulated environment , with some experience as an auditor or ... service they advise on and sell. Always Comply with the FCAs (and other applicable regulators) principles, commitments and codes of ... 3. You must be open and cooperative with the FCA, the PRA and other regulators 4. You must pay ...

Company: Emponics Job type: permanent (2 days ago)

... authorised and regulated by the Financial Conduct Authority (FCA Reference: 609970), established in 2013. Our Watford ... strong written communication Commitment to ethical conduct and FCA compliance standards No finance degree needed. Attitude ... listen. Fortrade Ltd is authorised and regulated by the FCA, FRN: 609970. Non-advisory, execution-only role ...

Company: Fortrade (2 days ago)

... authorised and regulated by the Financial Conduct Authority (FCA Reference: 609970), established in 2013. Our Watford ... strong written communication Commitment to ethical conduct and FCA compliance standards No finance degree needed. Attitude ... listen. Fortrade Ltd is authorised and regulated by the FCA, FRN: 609970. Non-advisory, execution-only role ...

Company: Fortrade (14 hours ago)

... disclosures, including Pillar 3 (CRR 450), MIFIDPRU, PRA/FCA submissions, and the annual Remuneration Policy Statement submissions. ... Engagement: act as a key contact for PRA/FCA interactions on remuneration matters and prepare supporting briefing ... including CRD IV/V/VI, EBA Guidelines, PRA/FCA Remuneration Codes, and IFR/UCITS/AIFMD. Understanding of ...

Company: Morgan Stanley (2 days ago)

... the compliance team understands the implications of PRA / FCA and Lloyd’s regulation for Talbot and its subsidiary ... Support the team in managing enquiries from PRA / FCA, Lloyd’s and other regulators, maintaining effective and ... and support of responses on Lloyd’s / PRA / FCA consultative documents where relevant. Design systems of control, monitor ...

Company: American International Group (2 days ago)

... and regulatory developments impacting the business, including FCA, CBI and other applicable bodies. Maintain and ... manage audit and review processes with underwriters, the FCA and other regulatory bodies. Monitor and oversee ... — this is essential. Sound, practical knowledge of FCA regulatory requirements relevant to insurance, including Consumer Duty, ...

Company: Pier Insurance Managed Services (13 hours ago)

... within: Motor finance Car sales (dealership or broker) Financial services / FCA-regulated environment Experience handling finance-based sales conversations, including: Affordability ... & suitability discussions Compliance-focused customer journeys Working to FCA standards and processes Proven ability to work towards targets, KPIs ...

Company: CarFinance 247 (2 days ago)

... with complaints handling experience gained within an FCA-regulated environment, ideally motor finance, vehicle ... Ensuring complaints are handled in line with FCA regulations, Consumer Duty and internal procedures. Identifying ... for: Previous complaints handling experience within an FCA-regulated environment. Ideally experience within motor finance, ...

Company: Axon Moore Job type: permanent (1 day ago)

... Business, London (Hybrid) A well-established, FCA-authorised payments institution operating at genuine scale with a ... own the safeguarding of customer funds in line with FCA EMI and PI rules — this isn't a ... regulated financial services or fintech environment Deep, working knowledge of FCA regulations — EMI, PI, or payments-regulated firm experience ...

Company: IO Associates (3 days ago)

... markets in the UK, Requirements The FCA regulates the conduct of 45,000 firms ... and competitive. Follow this link for more About the FCA. We’re seeking a collaborative professional to join our ... potential exposure to the use of interventions and wider FCA Handbook tools / remedial actions in cases of serious consumer ...

Company: UK Regulators' Network (3 days ago)

... client assets within highly regulated environments, including FCA CASS, CBI, and JFSC regimes. With ... governance, oversight, and assurance frameworks Ensure compliance with FCA CASS, CBI, and JFSC client asset regulations ... Custody, or Regulatory Controls Strong working knowledge of FCA CASS rules and safeguarding frameworks Background in operational ...

Company: BNY Pershing (3 days ago)

... line defence is undertaken with diligence Ensure adherence with the FCA’s 11 principles of business Compliance, Risk & ... undertaken with diligence Ensure adherence with the FCA’s 11 principles of business FCA Certification The role holder will be ... an FCA authorised employee, requiring certification by Monex for the ...

Company: Monex Europe (2 days ago)

... as: Associate – Level 8 - Regulatory About The FCA The FCA regulates the conduct of 45,000 firms in the UK ... potential exposure to the use of interventions and wider FCA Handbook tools / remedial actions in cases of serious consumer ... the P2P and IBCF sectors and understanding of the FCA’s supervisory approach Benefits 25 days annual leave plus ...

Company: Financial Conduct Authority (2 days ago)

... Act as the primary senior contact for the FCA Own Consumer Duty and ensure strong customer outcomes, ... or ready to step into that accountability) within an FCA‑regulated environment Deep expertise in consumer credit regulation ( ... prime / underserved segments Strong track record of direct FCA engagement at a senior level Comfortable balancing strategic ...

Company: MERJE (2 days ago)

... delivering excellent customer outcomes and ensuring full FCA compliance. Leading the Broker Product Management team ... Managing product governance, conduct risk and FCA compliance across the Insurance Broker portfolio Building ... experience leading Product Management teams within an FCA regulated environment Strong understanding of insurance products ...

Company: The AA (3 days ago)

... delivering excellent customer outcomes and ensuring full FCA compliance. Leading the Broker Product Management team ... Managing product governance, conduct risk and FCA compliance across the Insurance Broker portfolio Building ... experience leading Product Management teams within an FCA regulated environment Strong understanding of insurance products ...

Company: The AA (2 days ago)