Fca jobs in SurbitonCreate job alerts

Ensuring all business activity fully complies with FCA regulation and company procedures as detailed in the Conduct Polices and Guides to Best Practice. * Always promoting exceptional customer care ...

This position is only open to those with direct wealth management, IFA or pension experience, regulated by the FCA. We are central London based financial planners and wealth managers, running £150m ...

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 ...

Advisory oversight of the business and clients to meet FCA requirements * Work with SMEs business-wide, implementing Compliance solutions * Provide compliance training where required Your Profile

PRA, FCA, Lloyd's * Policy Development and Maintenance * Sanctions screening and implementation If you are looking to make a move or interested in what is out there, drop me a message or contact me ...

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 ...

Strong knowledge of FCA Handbook. Location: London Salary: £40,000k plus bonus Please note, our client is unable to offer sponsorship for this opportunity. Finally, should you not be contacted ...

To promote a culture where client's needs are placed at the heart of underwriting decision-making and business is conducted in a manner that meets Optio's internal standards and FCA guidelines * To ...

Ensuring all work meets the required FCA compliance standards * Contacting existing clients, to review their circumstances and products * Assisting the team with any other duties, as reasonably ...

As a Professional Indemnity Claims Solicitor, you will be responsible for handling and managing professional indemnity claims with a focus on SRA regulated Professionals and FCA regulated ...

FCA experience and investment management background Behavioural qualities : * Ability to work closely with all disciplines across the business, as well as communicating clearly with others * You'll ...

Lead and process client new business, renewals, midterm adjustments and lapses in accordance with current procedures and FCA requirements. Prepare customer reports on both new and existing risks. Key ...

Strong working knowledge of legal compliance in the UK & Australia - including knowledge of AML, payments services and e-money regulations, data protection, TCF and the FCA handbook * Excellent ...

Product development and FCA experience is a plus If you are interested in finding out more details on each, please apply directly

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 ...

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 ...