Trabajos fca en Yate

Understanding of how to use the FCA Handbook, and knowledge of the FCA requirements DISP, PRIN, SYSC, ICOBS, SUP and CONC. * Excellent computer skills. * Being able to work as part of a team. The ...

Do you have working knowledge of FCA requirements and regulatory framework?Our client, an award-winning investment and technology solutions firm, is looking for a Compliance Advice Manager to join ...

Strong knowledge of FCA principles, focusing on applying Consumer Duty to investment products and services. * Excellent knowledge of UK regulatory frameworks including when applied to discretionary ...

Full FCA backing and Compliance * In House Brokers and Account Handlers for your Risks * Full claims Service * Risks Management Services * Full Suite of Marketing Products * Use of the in-house ...

... new "Ops Res" FCA regulation. They are looking for someone with an exceptional understanding of contracts, how they work and how to renegotiate clauses with key, Tier 1 suppliers. Key ...

Knowledge Detailed knowledge of the FCA's rules and requirements. Detailed knowledge of the FCA's and the firm's record keeping requirements. Broad knowledge of the financial services sector ...

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 ...

You are not required to pay any FCA fees * Fantastic exit strategy * Back office support * Ringfencing on all of your clients, both those you initially bring with you (if you do) and those you ...

... FCA's Consumer Duty in all work activity. • Must achieve the minimum level of competency for the role relating to company, regulatory and legal stand

The successful candidate will have previous experience working within the Financial Services sector (ideally within a Financial Planning practice) and be familiar with FCA regulations. * Experience ...

... the FCA's rules and company procedures. Key Responsibilities: Helping Advisers prepare for client reviews by; * Ensuring all client and plan information is up to date on IO. * Requesting plan ...

Well-versed with the FCA Handbook, TPR and pension legislation * Previous experience in developing systems and controls oversight as well as assurance frameworks * The ability to build and maintain ...

Ensure that all applicable FCA, GDPR and relevant regulatory guidance/rules are followed in every contact to ensure the risk level of the business is kept to absolute minimum and show a complete ...

Ensure that all applicable FCA, GDPR and relevant regulatory guidance/rules are followed in every contact to ensure the risk level of the business is kept to absolute minimum and show a complete ...

Ensure that all applicable FCA, GDPR and relevant regulatory guidance/rules are followed in every contact to ensure the risk level of the business is kept to absolute minimum and show a complete ...

Have a good understanding of the regulated environment, including awareness of FCA (particularly Conduct Risk and TCF) * Understand business and how to develop a deep understanding of its needs ...

You will need a thorough understanding of SIPP and SSAS Pension Schemes, HMRC legislation and FCA regulations, with an overall broad knowledge of pensions and Benefits. You'll also need excellent ...

... FCA-compliant sales documents detailing recommended solutionsAnswering client queries during the policy year in a prompt and constructive fashionChecking the accuracy and completeness of policy ...

A clear understanding of financial services regulations and FCA principles * Excellent Pensions, Investments and Tax planning knowledge * Use of Cash Flow modelling software would be advantageous

An understanding of FCA CASS 6, 7 and 8 rules In return, you will receive a fantastic benefits package including: 10% non-contributory pension, 25 days holiday increasing up to 28 days +BH, Life ...

This includes preparing client suitability and annual review reports, ensuring they adhere to both FCA and firm guidelines. You will research products, funds, and investments, undertake tax ...

Preparing regulatory submissions for the Financial Conduct Authority (FCA). * Entering journal entries into the general ledger, including those for revenue, accruals, prepayments, and other necessary ...

Lutine Bell are currently supporting a leading Investment Manager based in London looking to appoint a Compliance Advisory Officer. Contribute to reporting due from the Compliance team including Regulatory reporting. Analyse, plan and execute actions and regulatory developments which affect the C...

I am currently recruiting for an academic Student Complaints and Appeals Officer to join my client based in SW England. ...