-term client relationships. This is a hands-on role, where you will leverage your expertise in FCA Conduct of Business (COB..., particularly within investment advisory and wealth management, with in-depth knowledge of FCA COB rules. Manage client projects...
Managing regulatory permissions while fostering effective relationships with the FCA Embedding consumer-focused governance... across all levels to ensure alignment with the FCA Consumer Duty, ensuring products and services meet market needs and deliver positive...
aligned with UK regulations, including PRA and FCA standards. Provide strategic advice to the Board on regulatory changes... or financial services sector. Deep knowledge of UK regulatory frameworks (PRA, FCA, AML regulations, and GDPR). Strong analytical...
-ordinate regular management information Ensure full compliance with the FCA's Consumer Duty by embedding consumer-focused... management in a timely manner of FCA related and other regulatory issues and any changes to the FCA rules. Produce an annual...
, monitoring regulatory risks, and ensuring adherence to FCA, EU, and global standards as we pursue additional regulatory..., including gap analysis of new regulatory initiatives and guidance from the FCA (e.g., Consumer Duty). · Regulatory Reporting...
manager for the firm’s regulated entity in the UK, fulfilling obligations and responsibilities as required by the FCA...
for the insurance and treasury industry. Formed in 2014 by a team of proven FinTech entrepreneurs, we are an FCA regulated...
company governance matters, including being well-versed on the FCA’s Listing Rules, the Market Abuse Regulation, and the FRC... : ▪ Experience in working in the Secretariat of a FTSE 350 (5 years plus experience). ▪ Working knowledge of FCA’s Listing Rules...
for the insurance and treasury industry. Formed in 2014 by a team of proven FinTech entrepreneurs, we are an FCA regulated...
of the creation of world-class CRM campaigns Accountable for ensuring that each CRM campaign is fully compliant with FCA...
and organisational skills Candidates applying for this role must be aware that it is a Certified Role, subject to the FCA and PRA... out their role. Under the guidance provided by the FCA and PRA, firms should have regard to the following when assessing...
services regulation, including MAR, MiFID II, Swap-Dealer rules and the FCA Handbook Experience advising on the application...
such as the FCA and other relevant authorities. · Cross-Functional Collaboration: o Collaborate with other departments... with FCA rules and regulations. · Ability to manage and negotiate complex contracts, litigation, and dispute resolution...
. Some understanding of FCA, SMCR and legal requirements related to consumer finance An understanding and/or experience of Operational...
. Be aware of and comply with the rules and requirements of the Financial Conduct Authority (FCA) and any other legal/regulatory...