Fca jobs in Chippenham

Give suitable advice to customers within the FCA regulatory framework * Generate referrals across B2B * Ensure a high level of customer service The Account Broker will also have the following; * CII ...

Working knowledge of the FCA Handbook. * Excellent analytical and problem-solving skills, with the ability to identify and mitigate compliance risks. * Ability to draft Compliance Oversight reports ...

We are looking for an experienced Senior Pension Technician with extensive knowledge of pensions (DB & DC) and FCA regulations. The successful candidate should have excellent communication skills and ...

Reporting any breaches of Network and FCA guidelines. * Identification and communication of potential adviser training needs in line with T&C Scheme, Procedures and Processes, providing feedback to ...

Main responsibilities: • 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 ...

Liaise with the FCA to gain appropriate authorisations as required. * Work with Legal to progress, facilitate, and report on legal actions. * Resolve contractual queries and provide technical advice ...

Dealing with new business processing, valuations, illustrations and portfolio research Understanding the Financial Planning process and ensuring compliance with FCA rules and principles. Systems ...

Diploma in Regulated Financial Planning (or FCA approved equivalent) and to maintain CF30 status in accordance with the FCA regulations. * Clear demonstration of a client centric approach with a well ...

Diploma in Regulated Financial Planning (or FCA approved equivalent) and to maintain CF30 status in accordance with the FCA regulations. * Clear demonstration of a client centric approach with a well ...

The job holder is primarily involved in: checking and releasing payment and premium collection files for client defined FCA Important Business Services; checking daily banking transactions for other ...

To operate in line with FCA Guidelines. * To maintain professional expertise through course attendance, reading of financial journals, and further training in line with but not limited to CPD ...

Specific responsibilities will include driving the Consumer pricing strategy, liaising with the FCA and Financial Ombudsman Service, and modelling the tax implications of pricing changes. You will ...

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

A good understanding and knowledge of relevant FCA rules

Ensuring client files comply with both FCA regulations and our internal policy and procedures. WHAT'S IN IT FOR YOU? By joining Chase de Vere, you'll have a progressive career with great benefits and ...

Vetting and approving employed AR administrators into the network in line with network and FCA requirements * Completing the network welcome pack for all new network brokers, including activating ...

Resolve customer complaints within target and FCA guidelines, ensuring that we treat customers fairly. * Maintain weekly and/or monthly productivity and work completed reports as directed. * Support ...

Liaise with the FCA to gain appropriate authorisations as required. * Work with Legal to progress, facilitate, and report on legal actions. * Resolve contractual queries and provide technical advice ...

Liaise with the FCA to gain appropriate authorisations as required. * Work with Legal to progress, facilitate, and report on legal actions. * Resolve contractual queries and provide technical advice ...

Maintain training and competence records relating to training performance, training completion, evaluation reports and knowledge testing in line with FCA requirements. * Manage stakeholder ...

Adherence to requirements of the CRM is enforced to a regulatory standard by the Lending Standards Board (LSB) and the Financial Conduct Authority (FCA). The CRM requirements continue to grow, there ...

Understanding of FCA and PRA guidelines. * Experience working in financial services, preferably a banking or lending environment. * Stakeholder management skills to effectively communicate across the ...

Act in accordance with the FCA Code of Conduct for company representatives. Skills and experience: * Ability to build / maintain strong customer relationships. * Professional approach. * Drive and ...

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 ...