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Monitor and ensure compliance with all relevant FCA rules and regulations, as well as other applicable legal frameworks. Stay up to date with changes in laws, regulations, and industry best practices

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 ...

As the Training & Competence Manager, you will play a pivotal role in ensuring the firm meets all FCA requirements and maintains a strong internal framework. This includes managing the end-to-end ...

The role: * Assist with providing advisory (UK and international) across FCA and PRA * Support on Audit and Assurance * Support on international advisory projects * Contribute to the group annual ...

Role Purpose * Advise on day-to-day compliance with FCA and other regulatory, and legislative requirements. * Assist with all aspects of compliance monitoring, investigation, and resolution ...

Work alongside the Group Auditors each year for the Group Audit and the FCA Audit in respect of Compliance and Client Money * Process and reconcile all premium finance agreements as required

Run compliance monitoring on all FCA regulated activities within the business and TPAs. * Produce individual reports and the quarterly CMP report. * Liase with Head of Risk & Compliance (HoRC) to ...

Deliver excellent client service in accordance with FCA guidelines, internal policy and procedure and company service standards. * Ensure that information on Intelligent Office is accurate and up to ...

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 ...

Ensuring that within your area of operation all regulations and standards with regards to FCA are adhered to for both Finance & Insurance. ''Stratstone are an Equal Opportunity employer committed to ...

Sound knowledge of FCA, MCOB and financial crime regulation, including financial promotion approval. * Strong analytical and problem-solving skills. * Able to identify poor customer outcomes and make ...

Has good knowledge of FCA regulations and financial services compliance generally and the applicable FCA Rulebooks, DISP, GDPR and Consumer Duty * Demonstrates a strong understanding of what good ...

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 ...

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 ...

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 ...