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Oversight of FCA regulated mandates within Corporate Finance * Support senior management in legal matters and be part of the Central Services Group Key Responsibilities Leadership and Strategy

Ensure the company adheres to all applicable FCA regulations, including those specific to the CFD industry such as the FCA's product intervention measures on CFD offerings (e.g., leverage limits ...

Operational Resilience Lead - Insurance / PRA / FCA / DORA / Business Continuity Summary of the role: As the Operational Resilience Lead, you will play a critical role in supporting Insurance clients ...

Ensure full compliance with the FCA's Consumer Duty by embedding consumer-focused governance across all levels * Keep up to date with developments that may affect the compliance and risk of the group

Regulatory Compliance Continuously analysing MarTrust's compliance with all relevant regulations, including FCA guidelines, Payment Services Regulations (PSRs), and Money Laundering Regulations (MLRs ...

Unique opportunity available for an experienced Compliance Manager with an FCA regulated fintech scale-up on a permanent basis , ideally to commence in January. This is a great time to join a fast ...

Candidates will ideally have significant experience of working for the Financial Conduct Authority (FCA) and / or advising firms and individuals regulated by the FCA and a deep knowledge of the FCA ...

Ensuring all business activity fully complies with FCA regulation and company procedures as detailed in the Conduct Polices and Guides to Best Practice. * Always promoting exceptional customer care ...

Support FCA registration initiative, including working with external counsel to source requisite information across various platforms * Provide input into our firm policy framework, and work with ...

The role is categorised as SM&CR ROLE and must be approved by the FCA prior to starting a new position. Key Responsibilities include: * Develop and implement a comprehensive risk management framework ...

This position is only open to those with direct wealth management, IFA or pension experience, regulated by the FCA. We are central London based financial planners and wealth managers, running £150m ...

Stay updated on all pertinent FCA regulations and guidelines regarding FX/CFD brokerage operations, ensuring strict adherence to these regulations. * Serve as the primary point of contact for ...

Act as the primary contact for regulatory bodies, including the FCA. * Oversee regulatory horizon scanning to anticipate and adapt to future regulatory initiatives. * Ensure compliance with Treating ...

Take on the role of "MLRO" for a number of entities that are supervised by the FCA for AML purposes (Annex 1 Financial Institutions). * Provision of quarterly compliance reporting and annual AML ...

The ideal candidate will possess a strong understanding of UK-specific payment systems, compliance frameworks (e.g., FCA, PSD2), and the ability to collaborate effectively with stakeholders to ...

FCA, HMRC or other regional authorities). * Manage the preparation and submission of tax filings, coordinating with tax advisors to optimize tax efficiency. * Collaborate with the accounting firm and ...

FCA and other relevant regulatory filings (e.g. FCA REP-CRIM) * Updating and maintaining the compliance manual, policies and procedures * Preparation for external/internal audits and operational due ...

Nicholas Howard are delighted to be recruiting for a Senior Compliance Officer to join a well established and growing specialist FCA regulated mortgage lending client, supporting the ongoing ...

Familiarity with FCA, Listing Rules, and MAR regulations. * Experience in managing Board and Committee processes.

Lead the response to general queries raised by business stakeholders on the FCA Handbook and compliance related policies and procedures. * Lead ad hoc regulatory projects as directed by Risk and ...

Complying with the FCA and anti-money laundering regulations Other responsibilities will include; * Initiate, develop and retain client relationships while contributing to the business development ...

Perform gap analyses against current regulations, such as the JMLSG and FCA standards. * Provide expert advice on financial crime matters and deliver engaging training sessions. * Investigate ...

Stay updated on all pertinent FCA regulations * Serve as the primary point of contact for regulatory inquiries and examinations * Oversee and maintain the firm's policies and procedures to ensure ...

As a fully FCA authorised and regulated business operating in financial services, operational, governance, risk and control requirements are a key focus of the business. About you We are seeking a ...