Fca jobs in Richmond - Page 2Create job alerts

Take a leading role in preparation the Firm's FCA application and development of related procedures, surveillance and regulatory submissions. Supervise counsel and external advisors that assist you ...

Thorough understanding of the FCA's Sourcebooks as applying to Insurance Intermediaries.

Ensure the company complies with all relevant UK financial regulations, including the Financial Conduct Authority (FCA) rules and guidelines. * AML/KYC Compliance : Implement and oversee Anti-Money ...

Be a Primary Compliance Advisor on FCA regulations, particularly those that relate to Wealth Management and/or Outsourcing * Implement Compliance Frameworks (e.g. SYSC) * Developing and/or ...

They are an investment management firm based in the UK, authorised and regulated by the FCA. The firm is also registered with several financial authorities in the US and is a member of the National ...

Working with regulatory team to produce FCA reporting Qualifications: Qualified - ACA/ACCA/CIMA Experience within financial services environment with knowledge of associated regulations Experience ...

Monitoring and assessing the company's compliance with UK and international regulations, including FCA guidelines, PSD2, AML, and GDPR. * Developing and implementing compliance policies, procedures ...

Awareness of regulatory environment and requirements e.g FCA, GDPR, competition rules * Understanding of how the market management division enables the objectives of a brokerage Experience * Previous ...

Ensure compliance with relevant PRA and FCA conduct rules. * Responsibility for the proper performance of all regulatory roles held in the course of employment. * Responsibility for the proper ...

Oversee applications to the FCA, advising clients on the regulatory requirements for their operations in the UK. * Conduct cross-border surveys and advise on accompanying rules and regulations ...

Conduct legal research to ensure compliance with regulatory requirements, particularly those outlined by the FCA, relevant to electronic money services and related programs. * Monitor and assess ...

Developing, implementing, and maintaining governance frameworks to support compliance with FCA and PRA regulations. * Managing and enhancing reporting processes for compliance issues, breaches, and ...

Ensure compliance with FCA regulations and other relevant financial reporting standards. * Liaise with external auditors and tax advisors to ensure smooth audits and tax filings. Investment Support

Prepare and assist with the regulatory filings including quarterly FCA filing and annual ICARA process * Monitor capital and liquidity adequacy at all times in all Federated Hermes Limited Group ...

Meet the FCA (formerly FSA) Treating Customers Fairly requirements. If you are interested in this position, please email your CV to sam@artemisrecruitment.co.uk

Infrastructure Engineer (Contract) - 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 ...

Good experience of business activities and Compliance within banking especially linked to FCA/ PRA/ICO and other regulations * Knowledge of retail and commercial banking products including SWIFT ...

Strong knowledge of FCA standards, consumer legislation, and trade practices. * Financial acumen with a track record of achieving KPIs and business goals. * Excellent communication skills across all ...

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 ...

Strong knowledge and application of FCA Suitability requirements Experience of working in a discretionary or advisory investment management environment with a focus on Retail investors. Understanding ...

Key tasks include managing compliance registers, assisting with AML processes, and preparing regulatory reports for the FCA and SEC. On the operational side, you'll oversee investment management ...

To advise, manage and arrange for accurate client and/or Underwriter documentation to be produced and delivered within the appropriate timeframes; all in accordance with Lloyds, company and FCA ...

... to the FCA on advisory matters, managing a range of matters with central banks & regulators, working with the Head of HR on a range of initiatives (including hiring strategy + D&I), but also ...