Fca jobs in Slough

FOSTER CARE ASSOCIATES (THE FCA) Role: Senior/Supervising Social Worker - Permanent Basic Salary: £30,338 - £41,052 per annum dependent upon experience Benefits: Company Car or £2,000 Car ...

Implement and oversee effective Training and Competence (T&C) regime in line with FCA regulations for retail and professional client businesses. * Understand, interpret, and communicate complex rules ...

Work with the Head of Compliance to implement FCA regulatory requirements into the firm's global compliance program * Manage day-to-day operations of the compliance program and conduct periodic ...

... FCA regulations, in areas including complaint handling, safeguarding, operational resilience and consumer duty. • Excellent team player with the ability to work closely with others to deliver ...

IMPORTANT FOR YOU TO BE CONSIDERED FOR THE FULL HEAD OF COMPLIANCE:- 1) YOU MUST BE STRONG SKILLED WISE ON THE FCA TO GET THE BUSINESS ACREDDITED AS AN "API" WHICH IS (AN AUTHORISED PAYMENT ...

To work closely with the FCA, FOS, Lloyd's of London, and other useful organisations such as MGAA and BIBA. Key skills and experience required. * The candidate should have circa 5 years' work ...

Assessment of the necessity for FCA authorization * Providing structural advice, encompassing guidance on collective investment schemes, joint venture arrangements, and alternative investment funds

Conduct daily and monthly client fund reconciliations to segregate funds accurately, ensuring this is in accordance with FCA standards. * Detect, address, and resolve reconciliation discrepancies

Work within the framework of an FCA-regulated business, ensuring a strong foundation of compliance and governance. Your expertise will play a pivotal role in maintaining the highest standards of ...

Own responsibility for carrying out reviews to ensure complaints are handled within FCA guidelines and timescales and that responses to customers are clear and demonstrate that a thorough ...

Responsible for the interaction with the PRA and FCA. * Promote a good compliance culture by engaging staff from all around the business. * Ensure responsibilities are carried out under FCA "Required ...

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 all business activity fully complies with FCA regulation and company procedures as detailed in the compliance manual - use checklists and support documentation as provided by the company to ...

Prepare and submit regulatory reports to relevant authorities (FCA and other), ensuring accuracy and timeliness. Coordinate responses to regulatory inquiries and examinations, facilitating regulatory ...

Work with the wider Operations team to review internal processes and procedures to ensure compliance with FCA regulations and company procedural standards. * In conjunction with wider Operations team ...

Ensure electronic client files are organised and updated, and easily accessible Compliance with FCA and company procedures * Assist the team in complying with FCA and internal compliance procedures ...

The business are currently regulated by the FCA in the UK, however they are seeking additional regulatory authorisation in other markets including the EU and North America. Due to an exciting and ...

Influence the strategic direction of information compliance and resilience at the FCA * Work in an environment that encourages learning and collaboration within all areas of Cyber and Information ...

You will receive referrals from FCA registered brokers and will be required to use your factfinding skills to understand the needs of your clients and assess the best course of action for them

FCA Statement Please note that this role is subject to meeting regulatory requirements. As an FCA-regulated organisation, we are committed to adopting the highest standards and we do this by ...

The primary function of this role is to support the GRC function through FCA regulatory updates and developments. Responsibilities * Keep the business in line with all policy updates from relevant ...

Managing client relationships, providing guidance and support on their FCA regulatory obligations * Providing training on regulatory change and assisting with the change and development of their ...

Deliver high-quality compliance solutions to clients in Credit, Mortgages, and Insurance, encompassing FCA authorizations, supervision advice, and regulatory due diligence. * Drive sales and ...

This is a great opportunity for an aspiring lawyer with a broad commercial practice from an FCA-regulated background, whether that is strictly financial services, insurance, or any other FCA ...