Trabajos fca en Cramlington

Collaborating with the leadership and compliance team to ensure adherence to FCA regulations and internal policies, ensuring consumer duty and TCF are maintained. * Assisting with onboarding and ...

Collaborate with the compliance team to ensure adherence to FCA regulations and internal policies, ensuring consumer duty and TCF are maintained. * Maintain accurate records of staff training ...

Ensuring all advice documentation is compliant according to FCA guidelines and additional compliance requirements * Effectively communicating at all times both internally and externally - verbal and ...

Working knowledge of Consumer Duty regulations and all FCA Principles in regulated consumer credit (applicable if relevant

Generate and process high-value payment runs. * Assist advisers with their regulatory returns to the FCA. * Engage with colleagues and partners from around the business on a daily basis

Lutine Bell are currently supporting a leading Investment Manager based in London looking to appoint a Compliance Advisory Officer. Contribute to reporting due from the Compliance team including Regulatory reporting. Analyse, plan and execute actions and regulatory developments which affect the C...

Finitas are delighted to be partnered with a growing life insurer in their search for an additional Complaints Handler to join their team. Complaint Handler | Life Insurer | Kent/Hybrid | £25 - 28,000 (doe). You will be resolving complaints in line with the FCA Dispute Resolution regulations to e...

The Risk & Compliance function has grown from 4 to more than 20 in a little over 3 years. You’ll have gained several years’ Compliance experience focused on investment products and have a detailed knowledge of UK regulatory requirements in this space, including MiFID, MAR, UCITS etc. ...

We are seeking an experienced Risk & Compliance Construction Manager to join our team. This role will ensure the safety and regulatory compliance of construction projects within highly regulated environments, such as pharmaceuticals. Ensure compliance with industry safety regulations and standard...

To assist the Team Leaders in ensuring the timely and accurate delivery of complaint resolution in accordance with mutually agreed service level agreements (SLA) and other agreed deadlines and to ensure that regulatory and audit requirements are met. To provide an excellent and efficient service ...

Investigator” in the subject line to apply. To support the company’s rapid growth, we seek several Online Investigators to spearhead investigations that aim to dismantle criminal operations worldwide. More specifically, Online Investigators will be tasked with the following:. Collaborate effectiv...

Assist the Head of Compliance in all areas of compliance including preparing for any regulatory changes, ongoing monitoring and any ad hoc compliance projects. Senior Compliance Officer (Contract). Very successful and established stock broking and wealth management company have a generalist compl...

Due to rapid growth, our Asset Finance client is looking for add to their Governance team with the appointment of a Compliance Officer. This wide-reaching role offers the opportunity to engage in all aspects of their compliance and operational risk activities. Ensure the business achieves and mai...

A large unique and exciting business are currently recruiting for a Management Accountant. Be a Qualified Accountant (ACCA/CIMA). ...

Coopman Search and Selection are delighted to partner with a global multi-strategy hedge fund who are looking to hire a Compliance Officer to be part of their London Team. The role will report direct into the General Counsel & Chief Compliance Officer. Ensure FCA & SEC regulatory compliance requi...

As the Compliance Manager, you will be responsible for generalist compliance activities covering both the UK & US. Coopman Search and Selection are delighted to partner with a leading alternative asset manager who specialise across the fixed income spectrum. Compliance Monitoring & Surveillance. ...

I am currently recruiting for an academic Student Complaints and Appeals Officer to join my client based in SW England. ...

The main duties involve transforming the Technical Compliance culture, conducting thorough quality audits, assisting in reviewing and implementing policies, supporting and delivering presentations, and creating detailed monthly compliance reports and data trends. Note : Strong engineering (Mechan...

Morgan Philips Executive Search has partnered with a rapidly growing independent law firm specialised in insurance and commercial litigation to hire a Risk & Compliance consultant to audit the current company practices, advise on the executive strategy and to manage the execution and implementati...

The Compliance Program Manager will be responsible for compliance for the EMEA region and will be responsible for the following:. Develop and implement a compliance training program to address compliance risk and support employee and third-party awareness of the Code of Conduct and other complian...

Assisting the Chief Compliance Officer (CCO) and the MLRO of MarTrust in overseeing AML Compliance Framework, systems and controls used to combat Financial Crime risks and conducting Compliance Monitoring testing in line with MarTrust’s Compliance Monitoring Programme (CMP). The Compliance Office...

Compliance Manager (UK) & UK MLRO. Initially, your key focus will be assisting the General Manager - UK in helping to operationalise BanxaUK, ensuring we meet the applicable regulatory compliance requirements. Providing guidance and advice to the various committees within the UK Legal, Risk, and ...

The daily duties of an ISO compliance manager will vary depending on the ISO and maintaining the quality management system. This role requires a quality/compliance professional with significant experience in. Liaising with external auditors: This involves working with external auditors who are re...

Complaints Investigator / Specialist. ...