Fca jobs in Cheshunt

Basic Salary: £30,338 - £41,052 per annum dependent upon experience Benefits: Company Car or £2,000 Car Allowance, 30 days' Annual Leave, rising to 35 day's with length of service, + Bank Holidays ...

Implement and oversee effective Training and Competence (T&C) regime in line with FCA regulations for retail and professional client businesses. * Understand, interpret, and communicate complex rules ...

Work with the Head of Compliance to implement FCA regulatory requirements into the firm's global compliance program * Manage day-to-day operations of the compliance program and conduct periodic ...

To work closely with the FCA, FOS, Lloyd's of London, and other useful organisations such as MGAA and BIBA. Key skills and experience required. * The candidate should have circa 5 years' work ...

Assessment of the necessity for FCA authorization * Providing structural advice, encompassing guidance on collective investment schemes, joint venture arrangements, and alternative investment funds

Conduct daily and monthly client fund reconciliations to segregate funds accurately, ensuring this is in accordance with FCA standards. * Detect, address, and resolve reconciliation discrepancies

Responsible for the interaction with the PRA and FCA. * Promote a good compliance culture by engaging staff from all around the business. * Ensure responsibilities are carried out under FCA "Required ...

Work within the framework of an FCA-regulated business, ensuring a strong foundation of compliance and governance. Your expertise will play a pivotal role in maintaining the highest standards of ...

Ensure all business activity fully complies with FCA regulation and company procedures as detailed in the compliance manual - use checklists and support documentation as provided by the company to ...

Submit reports to FCA (STORs) and/or NCA (SARs). * Monitor the Dealing Errors and Incident Reports within MKE UK employees. * Manage and provide solution for financial crime and AML matters in ...

Prepare and submit regulatory reports to relevant authorities (FCA and other), ensuring accuracy and timeliness. Coordinate responses to regulatory inquiries and examinations, facilitating regulatory ...

Ensure electronic client files are organised and updated, and easily accessible Compliance with FCA and company procedures * Assist the team in complying with FCA and internal compliance procedures ...

The business are currently regulated by the FCA in the UK, however they are seeking additional regulatory authorisation in other markets including the EU and North America. Due to an exciting and ...

Work with the wider Operations team to review internal processes and procedures to ensure compliance with FCA regulations and company procedural standards. * In conjunction with wider Operations team ...

Financial House Limited , an authorized electronic money institution by the FCA, is a Fintech & Payment company based in the heart of London. Specializing in E-money accounts & wallets, IBANs, EMD ...

You will receive referrals from FCA registered brokers and will be required to use your factfinding skills to understand the needs of your clients and assess the best course of action for them

The primary function of this role is to support the GRC function through FCA regulatory updates and developments. Responsibilities * Keep the business in line with all policy updates from relevant ...

Managing client relationships, providing guidance and support on their FCA regulatory obligations * Providing training on regulatory change and assisting with the change and development of their ...

Deliver high-quality compliance solutions to clients in Credit, Mortgages, and Insurance, encompassing FCA authorizations, supervision advice, and regulatory due diligence. * Drive sales and ...

What you will be doing (the role) As a Service Designer at the FCA you will work within a specialist user-centred design (UCD) team to provide expert service design delivery to emerging multi ...

What you will need: • Understand the risks associated with your job and what that means for you, Metro Bank and all our stakeholders • Expert knowledge of the FCA/PRA regulatory regimes and how ...

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 ...

Responsible for supervising Independent Contracting and Professional Partner registered wealth managers/financial advisers who are authorised with the FCA under RJIS' authorisation * Input and advise ...

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 ...