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 ...
Ensure the business achieves and maintains compliance with current and future FCA requirements. * Develop and maintain compliance policies and training material. * Support the firms data protection ...
Make sure that the firm's activities comply at all times with both its internal procedures, FCA and other legislative requirements. * Oversee the firm's TOBA management process, including the ...
Preparing all the regulatory (PRA/FCA/BoE/HMRC) monetary returns and the monthly management accounts (MIS). * Contribute in the annual ICAAP production, Pillar 3 disclosures and Prepare Finance ...
Key Responsibilities: * Assist the firm meet FCA and SEC regulatory compliance requirements * Prepare the firm for its quarterly FCA compliance reviews and annual SEC reviews * Review Compliance ...
PRA and FCA compliance awareness
Assess proof of ID, Mortgage history, Equifax search, Proof of Income, Affordability, etc. in accordance with company and FCA procedures, and updating the system accordingly. * Ensure workload is ...
Would you like to work with FCA regulated clients? Do you want ultra flexible working? Our client an independent 7 partner firm are looking for an Accounts & Audit Supervisor to work in their ...
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 ...
Recoveries Manager London (Hybrid) This role is with an FCA and PRA Regulated Bank, specialising in business lending with a range of asset, wholesale finance and mortgage products. The overarching ...
Ensure FCA & SEC regulatory compliance requirements are adhered too * Assess compliance issues for new business projects, including new funds, instruments, counterparties & business lines * Support ...
Good experience of business activities and Compliance within banking especially linked to FCA/ PRA/ICO and other regulators * Knowledge of retail and commercial banking products * Experience in ...
At Acorn Insurance we provide full training and continuous coaching inhouse you will be given full in-depth FCA regulated industry knowledge and have all the tools necessary to help you personally ...
... FCA). * Assess, report and act on risk and compliance issues within the Work with the compliance team to establish and formulate the Risk Register and ensure the client accounts team are updated on a ...
Gain exposure to further clients including PR and marketing, FCA-regulated clients, and hospitality * Quarterly events including memorable Christmas and Summer parties and BBQs * Dress down Fridays, ...
Apart from the entertainment industry, this firm have a loyal client base from other industry sectors including PR and marketing, FCA-regulated clients, manufacturing, and restaurants with turnovers ...
An in-depth knowledge of FCA Regulations would be beneficial. Benefits Full in house training will be provided to the successful candidate Good remuneration salary 25 Days annual leave P/A ...
Operational adherence to the CASS rules contained within the FCA handbook, update of procedures, breaches tracking, CASS advice to the business * Maintaining the CASS framework policy. * Managing the ...
Providing advice on retail banking products Applicable FCA and regulatory legal work Managing relationships with key stakeholders This is an outstanding opportunity for a consumer credit lawyer to ...
Good knowledge of the FCA handbook, particularly COBS * Knowledge of fund management and regulatory knowledge of UCITS and AIFMD Salary: up to £75,000 (plus bonus & benefits) Location: London ...
Demonstrable FCA experience for Compliance in Compliance Advisory roles * CONC experience preferred * Exceptional organisational skills with a proven track record of managing multiple items ...
... FCA & NSM. * Assist in the drafting specific sections of the Annual Report & Accounts as requested. * Support the Senior Assistant Company Secretary in the organisation of the AGM, including ...
FCA regulated / passed relevant regulatory exams - If not already held then the candidate would be expected to complete these qualifications shortly after arrival * 4-6 years + of fund placement or ...