Are you a business? Hire fca candidates in Wigan
Thorough understanding of FCA regulatory frameworks and compliance requirements.
Ensuring that the business (and its products and services) comply with FCA regulation; performing internal and external compliance monitoring; implementing a robust business continuity programme; ...
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 ...
Investigate and respond to escalated non-regulated vehicle quality complaints in line with FCA regulations, being always empathetic * Record and input complaints into our CMS * Feedback to other ...
Undertake production and filing of FCA periodic returns * Advise on money laundering issues (MRLO) * Undertake file review monitoring * To ensure client documentation is kept up to date and ...
Liaise and advise with stakeholders re VAT/CIS/HMRC/FCA/finance queries. * Subcontractor checks - including CIS deductions & CITB returns. * Weekly Subcontractor payments - ensuring projects are ...
Adhering to strict FCA guidelines * Providing a professional service and promoting our brand in a positive manner We are looking for colleagues who are: As well as a passion for the job, below are ...
To act at all times within the FCA Principles for Business and to comply with FCA and internal procedures at all times in order to ensure the company meets it's responsibilities in this area. SKILLS ...
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Maintain CPD record in line with FCA regulations. * Generate reports and commentary for review. Skills and experience required: * Minimum level 4 Diploma qualified. * Be open to studying further ...
Production of accurate and timely information required to fulfil FCA and other regulatory requirements * Training, coaching and development of existing team and new team members, holding monthly 1-2 ...
Be the contact point for FCA. * Oversee the investigation of breaches and complaints and the maintenance of central registers such as complaints, breaches, conflicts of interest. * Oversee the ...
£40,000 - £48,000 Hybrid role - once a month in Manchester, but may be required more based on a certain project Start date ASAP FCA Regulatory knowledge is vital to this role, if you don't have ...
FCA Certification Regime & Conduct Rules L&C is regulated by the Financial Conduct Authority (FCA) and is classified as an Enhanced Firm under the Senior Managers and Certification Regime (SM&CR
Deal effectively with disputes in accordance with FCA rules * Deal with hardship and vulnerable customers in accordance with FCA rules * Negotiate payment plans and settlement agreements in line with ...
... with the FCA Conduct of Business Sourcebook, HMRC, ICO legislation. The position will also involve providing day-to-day support to the adviser sales and adviser support teams. The Compliance ...
The ability to build and maintain close professional relationships with the knowledge and understanding of the FCA's regulatory and compliance procedures, including record keeping requirements. * You ...
Complying with the Financial Services and Markets Act 2000, the FCA's Conduct Rules / FCA Statements of Principle and Code of Practice and the and the relevant FCA rules at all times * Making sure ...
Ensuring that all staff are aware of, and comply with, the firm's own procedures and all relevant FCA requirements in relation to selling practices. * Ensure appropriate operational controls are in ...
Banking and allocation of client money, ensuring FCA guidelines are being met * Liaising with ceding ISA scheme providers to request ISA transfer monies * Processing investment/disinvestment ...
... FCA's rules and requirements " Broad knowledge of the financial services sector " At least 5 years within an IFA environment Please apply if you feel you meet the requires skillset to have a chat ...
Having a thorough understanding of the sales process, suitability letter requirements, internal pre-approval process and the regulatory requirements imposed by the FCA and SRA, and ensure these are ...
You must be open and cooperative with the FCA, the PRA and other regulators. * You must pay due regard to the interests of customers and treat them fairly. * You must observe proper standards of ...
To complete a client money calculation each month within FCA guidelines * Instruct the transfer of brokerage from client accounts to office accounts * Review the insurance debtor and creditor reports ...