Fca jobs in Horley

Key Accountabilities: ● 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 ...

Reporting directly to the Head of Compliance, the successful candidate will play a crucial role in ensuring the firm operates in accordance with the requirements of the FCA Handbook and adheres to ...

You will oversee the FCA's external supplier spend within the category of expertise, driving breakthrough results for FCA through effective development and delivery of sourcing and contracting ...

They will be heavily involved in the delivery of the MLRO report, the financial crime risk assessment, FCA reporting relating to AML/CTF and other related processes. * SMCR -The candidate will ...

Preparing monthly FCA monitoring data and quarterly regulatory financial returns in conjunction with Compliance. * Being part of the Firm's ICARA team: Providing financial data for the Firm's ICARA ...

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 ...

Able to read and interpret the FCA handbook. * Able to draft Compliance Oversight reports and other management reports to support the Compliance Oversight Officer * Have 5 years' experience in ...

The successful candidate will ensure that our products and services adhere to FCA regulations and are safeguarded against financial crime and risk. This includes reducing the likelihood of financial ...

Managing IBA's relationship with the FCA and ensuring that IBA meets its regulatory obligations. * Ensuring that IBA is well placed for compliance with new regulation and that appropriate new or ...

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

... FCA Principles. • Knowledge of FCA Code of Approved Persons. • Knowledge of the FCA FIT handbook and Guidance. Person Specification • Ability to work on own initiative as well as working ...

Possesses a strong understanding of FCA rules & regulations; * Part OR fully qualified in CII Diploma in Regulated Financial Planning; * Ideally has either H15, JO7 or AF6; * Possesses excellent ...

The client is happy to give training for this role but really wants FCA approved people or people who have recently worked for an FCA approved business. The ideal candidate will have experience as an ...

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 ...

Oversee firm's compliance with FCA's rules on systems and controls against money laundering What you bring: The ideal candidate for this Compliance Officer and MLRO role will bring a wealth of ...

English fluent, Be familiar with the requirements from regulatories (FCA, PRA, BOE, etc.) regarding AML/CFT, conduct risk, complaint, fraud, CASS, customer duty, etc.; Familiar with banking products ...

Act as the MLRO and hold the FCA SMF17. * Implement robust AML measures to prevent and detect money laundering activities, safeguarding the integrity of the organisation. * Ensure that the company ...

Comfortable with the FCA Handbook and with FCA rules. * Excellent analytical skills. * Commitment to learning and continuing professional development. * Should be comfortable with communicating with ...

... and FCA Principles of Business * the product and technical teams to ensure the Company Platform is compliant with applicable regulations and industry guidance * advice and legal support to ensure ...

An FCA Regulated Currency Market Expert are on the lookout for an experienced and dedicated FX Dealer ready to take ownership for maintaining and growing personal revenue. As their FX Dealer you will ...

Finance Manager (Qualified Accountants required - ACCA/CIMA/ACA) FCA Regulated Digital Assets business Up to £80K / Hybrid working London Fidarsi are currently working with a rapidly expanding ...

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 ...

A broad understanding of FCA regulations in relation to Consumer activity.

Submit timely and accurate reports to global regulatory authorities (e.g., SEC Form PF, SEC Schedule 13, FCA Gabriel reporting). * Develop and maintain regulatory reporting procedures and ...