An understanding of FCA regulations and guidelines relating to financial services clients * Willingness to continue to develop knowledge of products and related issues through formal and informal ...
This is a great opportunity for an aspiring lawyer with a broad commercial practice from an FCA-regulated background, whether that is strictly financial services, insurance, or any other FCA ...
To ensure all complaints are dealt with in a compliant manner and adhering to FCA and FOS guidelines, helping to achieve the best outcomes for customers and Snap Finance. The role and ...
In this position, you will oversee a stream of new business inquiries from the website while maintaining complete FCA compliance. The company offer guidance on a variety of business insurance ...
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 ...
You will also ensure all relevant regulatory requirements are met including the FCA's Conduct Rules and Principles. With great offices and hybrid working patterns, the company offer someone the ...
Key Responsibilities: * Assist the firm meet FCA and SEC regulatory compliance requirements * Prepare the firm for its quarterly FCA compliance reviews and annual SEC reviews * Review Compliance ...
Complying with the FCA and anti-money laundering regulations The incumbent will be expected to; * Continue building investment knowledge and be conversant with the full range of private banking ...
Liaison with the FCA on all regulatory matters and be the primary contact for the regulator. * Periodic review of existing frameworks (risk assessments, policies, procedures, monitoring programmes
Would you like to work with FCA regulated clients? Do you want ultra flexible working? Our client an independent 7 partner firm are looking for an Accounts & Audit Supervisor to work in their ...
Ensuring compliance at all times with the requirements of the FCA guidance regarding debt Collections (including subsequent associated legislation) * Manage customers who are resistant to agent ...
Industries include pension schemes, solicitors, charities & not-for-profit, FCA registered companies. * Planning, supervision and review of audit and accounts assignments * Preparing / reviewing ...
Build strong customer relationships and provide an excellent customer experience, whilst adhering at all times to company procedures and the FCA'sMCOB regulations and guidance. * Maintain an ...
In-house experience with FCA regulated investment manager * Experience with drafting policies and procedures, creating and managing compliance controls/testing, reviewing marketing materials ...
Thorough understanding of FCA Training and Competency requirements * Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner
Compliance with Bank's policies, FCA and anti-money laundering regulations, CASS, Consumer Duty & MiFiD II regulations. * Maintain accurate and up-to-date records of client interactions and ...
Adhere to FCA Conduct Rules Our client values a positive work environment and offers excellent training and development opportunities. This role is on a temporary basis, with a view for an immediate ...
An understanding of FCA regulations * Experience in underwriting 1st and/or 2nd charge mortgage applications Staff Benefits: * Private medical healthcare (Vitality) * Dental plan (Bupa) * Company ...
This role is subject to the Senior Managers and Certification Regime, a regulatory requirement of the Financial Conduct Authority (FCA) and Prudential Regulatory Authority (PRA). The occupant of this ...
A sound knowledge and understanding of FCA standards, consumer legislation and trade practices. * Financially astute with a proven track record of achieving results. * Excellent communication skills ...
This role is regulated by the FCA so it is an advised sale- no hard sells, so people who can quickly build trust and rapport do really well. As you are visiting peoples place of work there is some ...
... FCA engagement, capital requirements, remuneration and SM&CR. In order to qualify for this excellent opportunity, you will be a qualified lawyer (4+ years PQE) with a background in Financial ...
Monitoring of SLAs, customer satisfaction, FCA compliance, TCF, adherence to the bank's values, policies and procedures * Use of management information for reporting purposes Key Skills required
An understanding of FCA regulations and guidelines relating to financial services clients would be beneficial. * Good communication skills (written and verbal). * Ability to prioritise and organise ...