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Address business stakeholders' inquiries regarding the PRA/FCA Handbooks and compliance policies and procedures, ensuring clarity and alignment with regulatory standards. Requirements: * In depth ...

Providing compliance advice across MiFID and FCA regulatory topics, interacting closely with senior business stakeholders * Perform horizon scanning activities to keep the business up to date on ...

Understanding of the FCA Handbook, UCITS, MiFID II, AIFMD and ELTIF requirements. If this role sounds of interest please apply.

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 ...

Assisting with regulatory filings (FCA, NFA) * Reviewing and approving financial promotions * Maintaining and updating compliance policies and procedures * Conducting surveillance via Bloomberg ...

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

Have an understanding of:the relevant FCA rules; anti-money laundering andterrorist financing legislation;suspicious activity reportingand sanctions legislation. * Assist with responding to ...

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 ...

Local regulatory including FCA regulatory statements on a quarterly and annual basis * Preparation and review of balance sheet reconciliations, ICOFR requirements and maintain relevant documentation ...

Support colleagues with FCA applications and reporting * Update Consumer Duty Board Pack and collate data for annual reports * Complete due diligence for third-party suppliers and maintain a risk ...

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 ...

Preparing the daily internal client money reconciliations for the FCA regulated firms and overseas subsidiaries. * Prepare Daily client money related MI for the relevant business units. * Reporting ...

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 ...

Ensuring adherence to internal policies and regulatory requirements, including PRA and FCA standards, while driving the integration of policy updates across the business. * Stakeholder Engagement

Comfortable with the FCA Handbook and with FCA principles and rules. . ? Should be comfortable with communicating with different level stakeholders ?Should be able work with minimal supervision