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... ’ balance sheets, and counting. We’re licensed in the UK (FCA), Europe (DNB), and New York (NYDFS), with over 260 amazing ...

(2 weeks ago)

... .S. teams and regional compliance colleagues. You will advise on FCA rules, AIFMD, MiFID II, GDPR, and MAS, develop compliant processes ...

Company: Neuberger Berman (2 weeks ago)

... interacting with customers, your actions should align with upholding the FCA's Consumer Duty principles, thereby contributing to fair and beneficial ...

Company: Seven Investment Management LLP (2 weeks ago)

... banking partners, and ensure compliance with UK AML/CTF and FCA expectations. #J-18808-Ljbffr

Company: Jobtailor (2 weeks ago)

... pre-employment vetting as outlined by the Financial Conduct Authority (FCA). This may include but not limited to adverse financial history ...

Company: Attivo Group (2 weeks ago)

... charge of the UK regulatory framework, acting as the primary FCA contact and guiding a remediation programme through to completion. You ... will lead FCA engagements, provide technical leadership on CASS, and work with senior ...

Company: MERJE (3 weeks ago)

... with senior stakeholders across a number of functions.• Responsible forquarterly FCA reportingOversee end-to-end finance operations for in-scope entities ...

Company: Taylor James Resourcing (3 weeks ago)

... senior stakeholders across a number of functions.• Responsible for quarterly FCA reportingOversee end-to-end finance operations for in-scope entities ...

Company: Taylor James Resourcing (3 weeks ago)

... looking for a Financial Controller with experience of working in FCA Regulated Broking/Trading environments.This role provides experienced accounting & ...

Company: Taylor James Resourcing (3 weeks ago)

... looking for a Financial Controller with experience of working in FCA Regulated Broking/Trading environments.This role provides experienced accounting & ...

Company: Taylor James Resourcing (3 weeks ago)

InfraRed Capital Partners is seeking a Head of Compliance, Europe to lead the compliance function across Europe for our global alternative investment platform. You will provide practical advice to support the business while maintaining high standards of regulatory conduct. You will oversee UK MiFID, AIFMD compliance and regulatory interactions, ...

Company: InfraRed Capital Partners (3 weeks ago)

... senior decision-making. Coordinate regulatory reporting and FCA engagement, ensuring timely and accurate responses. ... services compliance or regulatory consulting with deep FCA conduct knowledge. Proven experience designing and ... money sectors is highly desirable. Familiarity with FCA portals and regulatory returns advantageous. Competencies Strong ...

Company: Hackajob Ltd Job type: permanent (3 weeks ago)

... customer and counterparty due diligence programmes. Managing relationships with the FCA and other relevant regulatory authorities, including regulatory inspections, information ... regulatory matters. Skills and Qualifications Extensive compliance experience within an FCA-regulated asset manager, investment adviser, or alternative investment manager. ...

Company: InfraRed Capital Partners (3 weeks ago)

... business processes to provide the business with assurance on FCA regulated business areas.Ensure compliance requirements are adhered to. ... and mitigate risks.Liaise with the regulators (i.e FCA) or Lloyds in regards to queries or issues.Monitor ... filing of various returns to Lloyd's and the FCA as required.Attend external training events to enhance own ...

Company: The Recruiter Specialists (3 weeks ago)

... and applicable regulatory expectations, including Lloyd's, FCA and PRA requirements. This role would suit someone ... reporting process which is introduced through the PRA/FCA regulation around Operational Incident Reporting (PRA SS1/26 ... Management & Business continuity regulation (Lloyd’s, FCA and PRA).Experience in the insurance industry and in ...

Company: Munich Re (3 weeks ago)

... clients on UK financial services regulation, including FCA and PRA rules and guidance.Providing regulatory support ... skilled person reviews.Liaising with regulators, including the FCA and PRA.Drafting and reviewing policies, procedures, and ... or a regulatory body.Good working knowledge of FCA Handbook, PRA Rulebook, and relevant legislation.Experience ...

Company: Thomson LRC (3 weeks ago)

... external audit cycle, the tax compliance pack and FCA / GFSC regulatory returns across the Group and MGA ... regulatory audit of the SFCR.Tax & FCA / GFSC regulatory reportingCoordinate the corporation tax compliance ... offshore (Gibraltar / Guernsey) or European subsidiariesFamiliarity with FCA RMAR / RegData and GFSC returnsPython, SQL or Snowflake ...

Company: Zego (3 weeks ago)

... from regulators across EMEA but primarily from the FCA and Senior Manager Function applications and associated ... voice recordings, client documentation, etc. Liaising with the FCA / PRA to co-ordinate and arrange regulatory meetings, ... , and attend, related onsite meetings with the FCA.Support the firm’s governance arrangements, including contributing ...

Company: Goldman Sachs (3 weeks ago)

... to new and evolving UK laws and FCA rulesDevelop policies, processes and provide advice in ... and industry best practices in the UK (specifically FCA-regulated environments)Data proficiency - ability to work with ... Qualifications:Experience dealing with the Financial Conduct Authority (FCA) and handling escalations to the Financial Ombudsman Service ...

Company: airwallex (3 weeks ago)

... , UK law, banking standards, and internal policies. Key Regulatory ResponsibilitiesHold FCA Senior Management Functions: SMF16 – Compliance Oversight SMF17 – Money Laundering Reporting ... . Develop and maintain compliance policies and monitoring programmes. Liaise with FCA, PRA, and other regulators. Investigate fraud, misconduct, and compliance ...

Company: cer Financial (3 weeks ago)