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Vice President The CASS Office provides a central oversight and advisory function for interpretating and implementing the FCA's CASS rules within DBAG London Branch. The CASS Office is part of ...

In this role you'll work under FCA regulation - we'll provide you with all the training you need to become a 'certified colleague'. To make sure you're eligible to advise clients on 'pre-need ...

Lead all communication with the FCA, managing correspondence and regulatory interactions * Maintain up-to-date compliance documentation, deliver training, and proactively implement regulatory changes ...

Act as the FCA-approved person for SMF16 & SMF17, ensuring compliance with all regulatory obligations. * Develop, implement, and maintain compliance and AML policies, ensuring adherence to UK ...

Ensure compliance with FCA regulations , particularly Conduct of Business (COBS) rules. * Assist in the administration of the Senior Managers & Certification Regime (SMCR) . * Respond to Financial ...

Ensure compliance with ADP policies and FCA license requirements. * Identify compliance risks, whether existing, new, or emerging and monitor compliance with and periodically update the policies ...

FCA Compliance Expertise: Demonstrable knowledge of FCA compliance requirements related to both wholesale and reinsurance business. * Regulatory Insight: In-depth understanding of Lloyd's, ICOBS and ...

Expert knowledge of relevant FCA/PRA regulation and its impact on the group. * Work with senior stakeholders and have a proven track record working in a fast-moving environment. If you are looking ...

Ensure compliance with regulatory requirements (e.g., FCA and Lloyd's). * Provide advice on claims management and risk mitigation strategies. Who We're Looking For * 2-6 years of experience in cyber ...

Manage the FCA/PRA day-to-day relationship for AL. * Be the responsible person for FATCA/CRS and Qualified Intermediary (QI) regime. * Be the firm's Data Protection Officer. * Resource, develop ...

Registering clients as regulated entities with the Financial Conduct Authority ("FCA") in the UK * Developing and implementing compliance policies and procedures * Preparing and maintaining employee ...

Strong knowledge of relevant regulation including the PRA and FCA requirements for Operational Resilience and the EU Digital Operational Resilience Act (DORA). * Experience of designing and ...

Contribute to, coordinate, and submit returns to Lloyd's, PRA, FCA, MAS, and other international regulators. * Understand and assist with the implementation of Lloyd's, PRA, and FCA requirements ...

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

... with FCA regulations and company policies- Collaborate with colleagues across the organisation to deliver comprehensive client solutions- Stay up-to-date with market trends and developments to ...

Act as the main point of contact with the FCA on all regulatory compliance matters. * Oversee the company's AML systems and controls. * Ensure completion of relevant training programs for compliance ...

Mandatory completion of company-prescribed learning and adherence to FCA rules. * Compliance with all company procedures Role Requirements * Familiarity and adherence to London market regulations ...

Ensure compliance with the Companies Act, FCA Listing Rules, and corporate governance codes . * Draft and submit regulatory announcements using RNS Submit . * Maintain statutory records, company ...

You will advise internal stakeholders on data privacy requirements, and support key external stakeholders, including regulators such as the FCA and Lloyd's. Duties: * Overseeing compliance with Data ...

If uncertain on FCA rules, consults more senior staff to obtain a ruling. * Seeks new business, both from new and existing clients, working closely with the investment managers and marketing staff, e ...

Understanding of compliance and FCA regulation * Demonstrate integrity and professionalism Your main responsibilities as a Senior Account Manager will include: * Providing a pro-active approach to ...

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 ...

Compliance and Regulation Ensure compliance with FCA regulations and internal standards. Stay informed about regulatory updates to maintain best practices. Collaboration and Teamwork Work closely ...

Act as the primary point of contact for the FCA, NCA, and other relevant regulatory bodies. * Provide training and guidance to employees on financial crime compliance. * Conduct risk assessments and ...

This role is perfect for someone with a great understanding of commercial contracts and FCA Regulations. Key Responsibilities: * Providing strategic legal advice to the business on a range of issues ...

Understand regulatory requirements, including FCA standards, and offer legal advice to support compliance efforts. Work closely with the internal compliance team to ensure seamless adherence to ...

Familiarity with UK and EU financial regulations , including MiFID II, MAR, SMCR, and FCA conduct rules . * Relevant professional qualifications (e.g., CISI Investment Compliance Certificate, FCA ...

Provide support with general regulatory knowledge and advice, including guidance on the FCA Handbook, best practices, and regulatory frameworks like DORA. • Policy Framework: Support with the ...

Fin-tech/Insuretech My client are a well established FCA-regulated business providing global claim funds management and payment solutions. Operating one of the largest banking and payment settlement ...

The Senior Manager will need to apply both FCA and PRA rules and guidance to firms across the insurance market. The individual will also need to be able to promote and sell the services of Thistle ...

AIFMD, MiFID II, SMCR, and obligations set out in the FCA Handbook as they apply to firm. * A proactive, self-motivated team player who can work independently with minimal supervision, manage a high ...

An established and successful event- driven and macro hedge fund, regulated by the FCA and SEC, is now looking for a Head of Compliance for their HQ in London, Mayfair. The successful candidate will ...

... FCA authorisation is required; * financial crime; * the establishment of regulated businesses in the UK; * change of control applications in the context of M&A and re-structuring transactions; * the ...

FCA Connect (ad hoc) * Assisting with SM&CR requirements, including management of AR firm regime obligations * Assisting in preparation of training material relevant to key regulatory updates

FCA Conduct Rules * You must act with integrity. * You must act with due skill, care and diligence. * You must be open and cooperative with the FCA, the PRA and other regulators. * You must pay due ...

To complete and submit FCA SMF applications and regulatory returns. * To provide support to the Compliance team as is deemed reasonable and appropriate for the job role. * To design and deliver ...

Oversee compliance with FCA regulations, specifically under PSD2, anti-money laundering (PSD designated MLRO) requirements, and data protection laws. We offer our loan products to Ltd companies, we ...

Prior experience at a regulator such as the SFO or FCA would be highly beneficial. * Strong organisational skills and attention to detail. * German language skills would be a real advantage

Maintain the CASS framework including FCA rule mapping and controls to ensure compliance with CASS rules at all times * Managing CASS relations with the FCA * Document and report any CASS breaches

Maintain up to date and working knowledge of the FCA Handbook, the Financial Services and Markets Act and operational working of the Insurance space * Undertaking audits for clients, which are then ...

... FCA requirements - Customer focused - Can do attitude

Deal with any follow up questions received from the FCA. Ensure appropriate records are maintained. Approved Person applications * Work with each AP to prepare their AP application. Critically review ...

An understanding of the FCA regulations such as PROD 4 and ICOBS would be an advantage but more importantly you should be a willing to learn. * Excellent attention to detail - able to recognise ...

Liaise with FCA and other international regulatory bodies, managing audits, reporting, and regulatory submissions * Maintain and update compliance policies, manuals, conflicts registers, and ensure ...

Apply FCA and PRA rules, including ICOBS and SYSC, to ensure clients meet their obligations. * Client Delivery: Conduct audits, provide strategic compliance advice, and oversee multiple client ...

Strong knowledge of UK financial regulations, including FCA rules. * Expertise in compliance monitoring, risk assessments, and due diligence. Desirables: * A professional compliance qualification (e ...

Act in the best interest of clients ensuring the FCA's requirements and Company policies in relation to Treating Customers Fairly, MiFID II and SMCR are adhered to The above list is not exhaustive ...

This role will require FCA approval or achievement of FCA approved status (within 3 months). * Fluency in any European language an advantage. Candidates applying for this role must be aware that it ...