Trabajos fca en Bath

Senior Compliance Advisory Manager Investment Management Location: Bath (Hybrid, 2 days in the office, 3 days WFH) Salary: To £75k + bonus + benefits Fancy joining an investment management business that’s as ambitious as you are? A business that’s not resting on its laurels, despite already ...

Support the SMCR Regime by closely working with HR and submit FCA Connect forms and Directory Persons as required. * Support the ongoing regulatory and change programs by acting as the FCA compliance ...

Previous experience in a compliance role, with a strong understanding of FCA and compliance regulations and requirements in the UK. * Exceptional organisational and multitasking skills to manage ...

To have a thorough understanding of the sales process, client file requirements and FCA requirements. To deliver what clients perceive to be a personalised and high quality service. To familiarise ...

Assisting in preparing regulatory notices to the Financial Conduct Authority (FCA) as part of TBUK's statutory reporting requirements. What we are looking for: To be successful in this role, you ...

FCA Statement Please note that this role is subject to meeting regulatory requirements. As an FCA-regulated organisation, we are committed to adopting the highest standards and we do this by ...

The risk team assures the business is compliant across the SRA, FCA and Data protection regulations.What's in it for you? * Competitive salary * Annual salary review * Hybrid working and flexible ...

Work closely with Group Compliance to ensure FCA guidance is followed and outcomes are fully compliant with FCA regulations. Requirements: * Previous experience working in a similar role as a Manager ...

The Training & Competence Advisor will undertake file reviews to make sure the Wealth Management firm is providing a high quality level of advice in line with internal policies and FCA requirements

Demonstrates good knowledge of FCA regulatory requirements and key conduct related priorities within the Motor insurance industry. * Ability to manage a portfolio of work, and to balance the demands ...

... FCA requirements. You will add value in helping us live to our client centric values. Working in a small team environment you are expected to make an impact and engage with stakeholders in the ...

A good understanding of FCA regulations with a particular focus on General Insurance and Consumer Salary/Package * £90,000 - £100,000 per annum * Hybrid working - 2-3 days on site * Company bonus ...

... the FCA's rules and company procedures. This is an urgent role, so please don't hesitate in submitting your application! We will be looking to progress through to interview stage fairly swiftly if ...

You'll have gained previous experience in a Compliance experience within an investment management or wealth management environment and will be fully conversant with relevant FCA regulations. You'll ...

Role Purpose To provide support as required to financial advisers or consultants to enable the provision of financial or product advice to clients, as set out within the FCA's rules and company ...

Ensure all technical jargon and choice explained to line in line with FCA regulation * Research the Market Place for the best product for your client in accordance with their needs * Give best advice ...

Ensuring your calls are compliant and adhere to FCA regulations, keeping your customers informed is crucial. * Working within a tight-knit team, you will aid and support other team members as ...

... FCA regulations * Check each insurer account at the beginning of each month for long outstanding credits or debits and bring to the attention of the relevant account handler * Organise payment for ...

Ensure you are meeting FCA regulatory requirements * Able to build long standing relationships with insurers and clients * Seeking best policy for the customer whilst protecting the insurer

... FCA guidelines • Complete all necessary translations The successful candidate will be a naturally confident communicator, with a passion for delivering exceptional standards of work. You will be a ...

Experience with FCA/Regulatory/Commercial a strong advantage. Team player with a proactive and can do attitude. Private Practice or In House background. Overview A key role with fantastic ...

Basic technical knowledge of FCA regulations as they pertain to insurance intermediaries * Understanding of processes and procedures within the insurance market Skills/Behaviours * Attention to ...

Insurance experience required, ideally gained at an insurance broker, where you have gained a High level of FCA Principle and Procedures knowledge * Good level of technical knowledge, especially in ...

Duties Include- Supporting business compliance with FCA rules related to the Client Asset Sourcebook (CASS).- Performing daily controls like reconciliations and diligently investigating any ...