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In this role you'll work under FCA regulation - we'll provide you with all the training you need to become a 'certified colleague'. To make sure you're eligible to advise clients on 'pre-need ...

Act as the primary point of contact for the FCA, NCA, and other relevant regulatory bodies. * Provide training and guidance to employees on financial crime compliance. * Conduct risk assessments and ...

An understanding of the FCA regulations such as PROD 4 and ICOBS would be an advantage but more importantly you should be a willing to learn. * Excellent attention to detail - able to recognise ...

Ensure FCA & SEC regulatory compliance requirements are adhered too * Operate core compliance programme (PAD, Conflicts, Gifts and entertainment) * Assess compliance issues for new business projects ...

Market Operations Manager - London, UK "Global Futures and Options Ltd (GFO-X)", a UK FCA-authorised and regulated MTF, is seeking an Infrastructure Engineer to join our growing team in London, UK

Help to drive the implementation of compliance controls and processes, ensuring adherence to FCA regulatory Compliance, AML/CTF, and other regulations. * Be a collaborative member of the Compliance ...

TO BE CONSIDERED FOR THIS ROLE YOU MUST HAVE PRIOR EXPERIENCE IN A BUSINESS ROLE AT A UK-BASED CONSUMER FINTECH Who we are LoanTube is a leading London-based FinTech and FCA Authorised Broker (FRN ...

If you're looking for a role where you can bring your understanding of FCA and PRA legal and international insurance compliance issues, whilst working in an autonomous but supportive environment then ...

All trades are confirmed by an FCA-regulated broker. Wematch Securities Financing covers Total Return Swaps (TRS) on equities on specific and financing structures, Securities Borrowing & Lending (SBL ...

... technical FCA regulatory knowledge and experience - essential · Hands on experience developing and embedding regulatory change - desirable · You will be solution focused, self-motivated ...

Ability to demonstrate deep technical FCA regulatory knowledge and experience - essential * Hands on experience developing and embedding regulatory change - desirable * You will be solution focused ...

Hold a Chartered certificate and be regulated by the FCA to give financial advice (Ideally CII). * Significant experience providing financial advice to sophisticated High Net Worth (HNW) and UHNW ...

The role involves analyzing trading, client portfolios, and accounts to provide FCA regulated advice on areas such as pension transfers, bond surrenders, investment taxation, and account structure ...