Fca jobs in Morden - Page 3Create job alerts

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 ...

Uphold FCA requirements, Consumer Duty obligations, and other regulatory standards to maintain the highest levels of professionalism. Experience and Knowledge: * Proven success in managing and ...

Provide advice on finance CASS controls to the business. * Assist Compliance and the Financial Controller in responding to FCA requests. * Prepare monthly CMAR reports and ensure client money and ...

Maintain compliance with regulatory requirements, including FCA regulations and Consumer Duty obligations* Collaborate with the wider team to provide seamless client support and achieve shared ...

Lead and process client new business, renewals, midterm adjustments and lapses in accordance with current procedures and FCA requirements. Prepare customer reports on both new and existing risks. Key ...

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.

You will take responsibility for all Regulatory reporting to the FCA and PRA. * Support the annual audit process * Work with the wider finance team on providing support with all regulatory matters

Monitoring the timeliness of the placement process to ensure Contract Certainty is achieved and FCA deadlines are adhered to. * Liaising with insurers and other third parties regarding the ...

Maintain statutory records and assist with FCA filings. Key Skills: * 4-5 years of relevant experience. * Chartered Governance Institute (CGI) qualification preferred. * Excellent minuting and ...

Collaborate with the Finance Director to submit FCA and other regulatory filings. * Manage the processing of purchase invoices, employee expenses, company credit cards, and execute the weekly payment ...

Experience of UK financial services regulations, including the FCA. * Attention to detail and the ability to work independently, manage multiple tasks and deadlines effectively. * Experience working ...

... 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 ...

Ensure compliance with FCA and AML regulations, focusing on the Payments Services and Electronic Money Directives. * Risk Assessment & Mitigation: Evaluate and address compliance risks, particularly ...

Implement data governance and security protocols in line with GDPR, FCA guidelines, and other relevant financial industry regulations to protect sensitive customer data. * Integration: Design ...

Staying updated on regulatory changes relating to relevant financial crime legislation as well as, PRA, FCA, Lloyd's and other regulations. * Build out and maintain Financial Crime control frameworks ...

Must have basic knowledge of the FCA Handbook Administrative Compliance tasks Compliance Generalist Handling complaints Support the team with Compliance Monitoring Reviews Assist with Regulatory ...