Fca jobs in St Albans

Regulated by the FCA they are looking to add an additional Business Development Manager to their already successful team. Follow up new business opportunities and setting up meetings for the divisional director. Enthusiasm, drive and passion with a strong desire to 'win’ new business. Dynamic, am...

Basic Salary: £30,338 - £41,052 per annum dependent upon experience Benefits: Company Car or £2,000 Car Allowance, 30 days' Annual Leave, rising to 35 day's with length of service, + Bank Holidays ...

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 ...

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 ...

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 ...

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 ...

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

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

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 ...

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 ...

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 ...

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 ...

Responsible for supervising Independent Contracting and Professional Partner registered wealth managers/financial advisers who are authorised with the FCA under RJIS' authorisation * Input and advise ...

The Role Head of Compliance - West End based Brokerage Martis Search are representing a West End based, FCA regulated, privately owned FX Brokerage to hire a "Head of Compliance." The role sits on ...

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 ...

... and FCA Principles of Business * the product and technical teams to ensure the Company Platform is compliant with applicable regulations and industry guidance * advice and legal support to ensure ...

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 ...

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 ...

Financial House Limited , an authorized electronic money institution by the FCA, is a Fintech & Payment company based in the heart of London. Specializing in E-money accounts & wallets, IBANs, EMD ...

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

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 ...

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

What you will be doing (the role) As a Service Designer at the FCA you will work within a specialist user-centred design (UCD) team to provide expert service design delivery to emerging multi ...