database systems Current certificate of qualifications (FCA, CII, DipFA, CISI or other) Degree in Finance or related field...
to date with FCA regulations, products and polices, and to understand the impact of any changes on clients - Build a detailed picture...
Financial Services and Markets Act 2000, the FCA’s Conduct rules / FCA Statements of Principle & Code of Practice and the... relevant rules from the FCA at all times Having a positive culture attitude at all times Keeping up to date with relevant...
to all Compliance department requests on time Complying with the Financial Services and Markets Act 2000, the FCA’s Conduct rules / FCA... Statements of Principle & Code of Practice and the relevant rules from the FCA at all times Having a positive culture attitude...
Salesforce to monitor and accurately record tasks. Compliance with FCA and company procedures Ensure the team remain... compliant with FCA and internal compliance procedures, ensuring all client files and information remain compliant...
files are organised and updated, and easily accessible Compliance with FCA and company procedures Assist the team... in complying with FCA and internal compliance procedures, ensuring all client files and information remain compliant...
to ensure all information is up to date and accessible. Ensure compliance with regulatory obligations, including the FCA "know...
and accounts to provide FCA regulated advice on areas including pension transfers, investment taxation and account structure...
and external sources and ensuring the team remains compliant with FCA and internal compliance procedures. Engaging...
laundering checks Ensure electronic client files are organised and updated, and easily accessible Compliance with FCA... and company procedures Assist the team in complying with FCA and internal compliance procedures, ensuring all client files...
to generate compliant initial and ongoing income for the company. Key Responsibilities: To comply with FCA rules and guidance...
will be working directly with the owners and existing compliance staff to ensure the company adheres to FCA guidance and the company... advisers, providing a clear path to competence that is in line with FCA T&C requirements, in a scalable way that can support...
and business submissions using iO to monitor and accurately record tasks. Compliance with FCA and company procedures Ensure... the team remain compliant with FCA and internal compliance procedures, ensuring all client files and information remain...
to generate compliant initial and ongoing income for the company Key Responsibilities: To comply with FCA rules and guidance...
Salesforce to monitor and accurately record tasks. Compliance with FCA and company procedures Ensure the team remain... compliant with FCA and internal compliance procedures, ensuring all client files and information remain compliant...
including at least intermediate Excel knowledge. Understanding of the needs of Financial Services teams and FCA rules...