Fca jobs in Isleworth - Page 2Create job alerts

FCA handbook * SMCR This role will be specifically focused on being a capability leader for mainly projects around the FCA handbook and Consumer Duty, however they may vary across all four of the ...

Provide compliance advice to Private Client lending on FCA rules for secured lending (MCOB, CONC) and PRA BTL regulations. Advise on unregulated lending for regulated aspects. * Risk Management

Assisting the various teams with financial projection reviews for FCA authorisations, variations of permission and change in control applications * Working closely with the Head of Prudential ...

Taking ownership for working with their first line compliance to proactively identify and help manage through to implementation any changes to ensure FCA compliance is maintained including ...

We are an FCA regulated investment firm looking to appoint an experienced 2nd Line Risk Manager with proven ability to enhance the Firm's risk management framework and risk monitoring procedures

Ensure all work is in line with FCA regulations and company standards What We're Looking For * Strong experience in an IFA administration role, ideally with a focus on technical cases * Experience ...

... FCA regulations and compliance are met Supporting with ad hoc projects and tasks where required Reviewing and understanding existing scheme information from providers. Using research tools / systems ...

Proven experience in managing relationships with regulatory bodies (e.g., FCA, PRA, NCA). * Excellent communication and presentation skills, with the ability to influence stakeholders at all levels

Leveraging RCSA reviews, Monitoring and Testing Reports, Audit reports, Gap Analysis of FCA issued Findings and Thematic reviews. Personal Attributes & Experience * You are experienced in financial ...

Strong understanding of FCA regulation, specifically MCOB and Consumer Duty, and GDPR. * Experience in conducting quality assurance and monitoring reviews. * Good interpersonal skills and a proactive ...

Oversee compliance with relevant regulatory frameworks, including FCA and PRA regulations, as well as global standards where the firm operates. Ensure ongoing adherence to SMF16 requirements

This position would suit someone with a strong regulatory (FCA and/or PRA) background that enjoys working closely with the business in an advisory capacity, whilst working on large scale, complex ...

FCA Regulatory and Other Regulatory and Compliance Matters - working with the Senior Counsel (European Compliance) to provide legal support on FINRA, FCA and broker-dealer related compliance matters ...

Directly support license application with FCA and MiCA * Assist in preparing for and responding to regulatory audits and reviews. * Stay updated on relevant regulatory requirements and ensure that ...

Currently recruiting for a well established trading firm for a compliance manager FCA registrations. Interactions with various trading exchanges. Trade Surveillance monitoring Assisting with Training ...

My client is PE backed and FCA regulated. This is a fantastic opportunity for a confident and technically capable Laywer to take on an autonomous role within a market leading organisation. The main ...

Fortune Commercial Finance Ltd is a FCA regulated mortgage broker is seeking a highly motivated and qualified Mortgage and Protection Advisor to join their our dynamic team. You will be responsible ...

... FCA regulated Professionals. This is a hybrid role located in London (City), with flexibility for some remote work. The ideal candidates will be qualified Solicitor with experience in handling ...

Previous UK risk and compliance experience Excellent FCA experience ideally from a consumer lending perspective Commercially focused, capable of effective business partnering Management/Leadership ...

This individual will hold the CF 10 and CF 11 functions as required by the Financial Conduct Authority (FCA) and during the initial engagement, they will partner directly with the regional Chief ...

Reporting to the Group General Counsel and closely with the Compliance team, you will have a broad role encompassing: * advising on regulations issued by the FCA and other regulators * developing and ...

As a Professional Indemnity Claims Solicitor, you will be responsible for handling and managing professional indemnity claims with a focus on SRA regulated Professionals and FCA regulated ...

Strong working knowledge of Lloyd's and FCA principles, as well as UK, EU and US sanctions is also key.