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Ensure all business activity fully complies with FCA regulation and company procedures as detailed in the Operations and Compliance manuals - use checklists and support documentation as provided by ...

Diploma in Regulated Financial Planning (or FCA approved equivalent) and to maintain CF30 status in accordance with the FCA regulations. * Clear demonstration of a client centric approach with a well ...

Your deep understanding of the UK financial sector regulation framework and compliance will help the organization manage risk and remain compliant with the FCA and other relevant regulators. We offer ...

Good knowledge of FCA regulatory requirements * Good attention to detail and ability to prioritise work Education / and or Experience * Relevant insurance qualifications or equivalent experience * "A ...

Ideally we would like you to be in a Managerial Compliance role and be aware of following and adhering to strict SRA, FCA or other parrel authorities, with success of implementing your new policies ...

Will provide superior customer service and appropriately support customers who may experience financial difficulties or vulnerability in accordance with FCA regulation. * Working with the UK ...

Ability to manage and maximise portfolios, in line with TCF and FCA requirements * Knowledge of general planning and also ideally VCT, EIS and IHT matter * Use of Cash Flow modelling and lifestyle ...

Knowledge of industry regulations including the FCA's COLL sourcebook.

Be conversant with Company Procedures manual and the requirements of the FCA Standards and Rules and to implement and maintain procedures as stipulated. * Be aware of market conditions and the ...

Experience and understanding of FCA compliance and regulatory processes Benefits: * Competitive salary + quarterly bonus incentives (DOE) * Comprehensive employee benefits package * Opportunity to ...

You will put the customer at the heart of everything you do, utilising know your customer (KYC) and treating customers fairly (TCF) methodologies, handling claims in line with compliance, FCA ...

Organised and able to prioritise workloads Knowledge of FCA regulations and basic insurance principals * Ability to work within a team environment and as an individual * CII Qualifications are ...

Exposure to larger practices and familiarity with FCA or FCCA standards. * Strong grasp of Microsoft Office and the ability to quickly adapt to new technologies. Personal Qualities * An exceptional ...

You will also pride yourself on developing your technical skills, keeping abreast of industry developments, as well as any changes to inhouse or FCA regulations.You will receive a salary of up to ...

FCA or FCCA Experience Required Essential: Minimum of 4 years post Qualification proven experience within an audit practice environment Minimum of 3 years' experience managing staff within a practice ...