Fca jobs in Beckenham - Page 2

You will be responsible for ensuring FCA compliance when recording administration of complaints procedure. Main Duties * Resolution for all manner of complaints, adhering to Service Level Agreement

This role will report to the C-Suite and have prior experience engaging with the regulator/FCA. Key Responsibilities: * Managing UK Compliance team * Building and maintaining relationships with ...

Conduct Standards - Tier 1 - All Staff - to comply at all times with the PRA/FCA's Conduct Standards, namely: 1.) to act with * integrity 2.) to act with due skill, care and diligence and 3) to be ...

Liaise with regulatory bodies such as the FCA and PRA and advise on banking laws and regulation * Draft, review, and negotiate a variety of legal agreements and contracts for various departments

Given the nature of the business experience in Insurance or an FCA regulated industry is important so please do not apply if you are outside of those arena's. Role overview: * Ensure all group ...

Report to the FCA and PRA, alongside supporting the statistical reporting to the Bank of England. * You will work closely with the CEO and Head of Finance on various projects and ad hoc work ...

Your role is to review files, sales, client accounts and ensure we're on the right FCA track. Coming from an Insurance Broking Background is ESSENTIAL. Other applications will be reviewed but sadly ...

... and FCA Principles of Business * the product and technical teams to ensure the Company Platform is compliant with applicable regulations and industry guidance * advice and legal support to ensure ...

Ensure adherence and operational compliance with FCA's CASS rules to safeguard client assets and money, included the timely and accurate completion of CASS reconciliations. * Implementation, design ...

Thorough understanding of PRA (Prudential Regulation Authority) and FCA (Financial Conduct Authority) requirements. The Role: * Ensure the organisation's adherence to Lloyd's Principles. * Provide ...

Maintain company's payment institution license and act as the primary contact with the FCA, ensuring all communication, reports and responses to regulatory requests are accurate, completed and ...

Prepare complex FCA regulatory returns * Maintain the firm's employee expenses system, including the review and approval of expenses * Perform regular bank reconciliations to ensure financial records ...

Ensure the company complies with all relevant Financial Crime regulations and guidelines set by the Financial Conduct Authority (FCA) and other regulatory bodies. * Identify, assess, and mitigate ...

Supporting the compliance team with any FCA interactions related to the Financial Planning team. Ensuring key risks and controls are appropriately identified and assessed, including reporting on risk ...

Draft STOR forms ready for submission to regulators such as FCA etc. * Assist in maintaining appropriate desk-based policies in relation to market abuse. * Assist in responding to regulatory ...

Staying informed on FCA regulatory rules * Supporting the review of Financial Promotions * Compiling compliance reports upon request * Assisting with on-site compliance audits The ideal candidate for ...

... FCA regulations, as well as streamlining processes. Responsibilities: * Ensure the firm's operations comply with CASS rules, maintaining accurate records and implementing effective controls

Keep up to date with FCA rules and legislations * Assist with financial crime audits Experience & Qualifications * A minimum of 5 years' practical experience in a compliance/onboarding/transactional ...

Be fully aware of FCA guidelines and respond within FCA timescales, keeping Senior Management fully updated at all times. * Provide experienced support to the overall team, handling technical ...

FCA Handbook, JMLSG, AML/ABC/TFregs • Research and analytical skills with the ability to summarise complex findings • Effective written and oral communication • Self-motivated, organised ...

A broad understanding of FCA regulations in relation to Consumer activity.

Excellent knowledge of Lloyd's and FCA/PRA financial reporting * Demonstrable experience of building processes and developing systems from scratch * Depending on your level, proven experience of ...

Experience of wealth management or other FCA regulated businesses would be highly beneficial. A deep understanding of accounting complicated P&Ls across a range of varied businesses is essential. You ...

To provide high-quality legal advice on UK financial regulatory issues, including FCA and PRA rules, compliance requirements, market conduct and market abuse. * Assist the Legal and Compliance teams ...