Implement and oversee effective Training and Competence (T&C) regime in line with FCA regulations for retail and professional client businesses. * Understand, interpret, and communicate complex rules ...
FOSTER CARE ASSOCIATES (THE FCA) Role: Senior/Supervising Social Worker - Permanent Basic Salary: £30,338 - £41,052 per annum dependent upon experience Benefits: Company Car or £2,000 Car ...
You will be responsible for managing FCA's external supplier spend, driving breakthrough results for FCA through effective development and delivery of sourcing and contracting strategies. What you ...
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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 ...
Assessment of the necessity for FCA authorization * Providing structural advice, encompassing guidance on collective investment schemes, joint venture arrangements, and alternative investment funds
Conduct daily and monthly client fund reconciliations to segregate funds accurately, ensuring this is in accordance with FCA standards. * Detect, address, and resolve reconciliation discrepancies
Work within the framework of an FCA-regulated business, ensuring a strong foundation of compliance and governance. Your expertise will play a pivotal role in maintaining the highest standards of ...
Ensure all business activity fully complies with FCA regulation and company procedures as detailed in the compliance manual - use checklists and support documentation as provided by the company to ...
Submit reports to FCA (STORs) and/or NCA (SARs). * Monitor the Dealing Errors and Incident Reports within MKE UK employees. * Manage and provide solution for financial crime and AML matters in ...
Prepare and submit regulatory reports to relevant authorities (FCA and other), ensuring accuracy and timeliness. Coordinate responses to regulatory inquiries and examinations, facilitating regulatory ...
The business are currently regulated by the FCA in the UK, however they are seeking additional regulatory authorisation in other markets including the EU and North America. Due to an exciting and ...
Work with the wider Operations team to review internal processes and procedures to ensure compliance with FCA regulations and company procedural standards. * In conjunction with wider Operations team ...
Implementing FCA regulations * Maintaining and developing the risk-based approach to AML and CTF arrangements - carrying out regular assessments of the adequacy of systems and controls to ensure that ...
You will receive referrals from FCA registered brokers and will be required to use your factfinding skills to understand the needs of your clients and assess the best course of action for them
The primary function of this role is to support the GRC function through FCA regulatory updates and developments. Responsibilities * Keep the business in line with all policy updates from relevant ...
Managing client relationships, providing guidance and support on their FCA regulatory obligations * Providing training on regulatory change and assisting with the change and development of their ...
Deliver high-quality compliance solutions to clients in Credit, Mortgages, and Insurance, encompassing FCA authorizations, supervision advice, and regulatory due diligence. * Drive sales and ...
Understand and comply with the requirements and expectations of the FCA's individual conduct rules (COCON 2.1 Individual conduct rules - FCA Handbook). * Understand and comply with the requirements ...
Financial House Limited , an authorized electronic money institution by the FCA, is a Fintech & Payment company based in the heart of London. Specializing in E-money accounts & wallets, IBANs, EMD ...
Responsible for supervising Independent Contracting and Professional Partner registered wealth managers/financial advisers who are authorised with the FCA under RJIS' authorisation * Input and advise ...
Core Responsibilities: · Collaborate closely with Conduct Oversight Lead to establish conduct framework for compliance with FCA, PRA, Lloyd's and overseas regulators. · Abide to FCA and Lloyd ...
The Role Head of Compliance - West End based Brokerage Martis Search are representing a West End based, FCA regulated, privately owned FX Brokerage to hire a "Head of Compliance." The role sits on ...
Absolute recruit are partnered with a FCA regulated Fintech business based in West London who have recently created a reporting team and are looking to add additional head count. The interim ...