Due to recently establishing the UK entity and registering with the FCA, the firm are now starting to build out... experienced gained in-house or within a service provider Prior experience and knowledge of FCA requirements Additional...
client portfolio, including entrepreneurial companies, larger corporates, multinational groups, and FCA-regulated businesses...
in performing client categorization based on the FCA (Financial Conduct Authority) Conduct of Business Sourcebook. Experience...
regulatory knowledge under the FCA framework in addition to a solid private practice grounding. Previous company secretarial...
with a can-do attitude FCA accreditation required Excellent knowledge of finance and related systems. Knowledge of insurance...
with FCA regulations and internal standards. Stay informed about regulatory updates to maintain best practices... and client management systems. Strong understanding of FCA regulations and compliance requirements. CII / ACII qualification...
Always to undertake the duties of this role in accordance with the requirements of the company's Regulators, including FCA's Principles... your details will be published on the FCA’s Financial Services Register This role has been identified as a Client-dealing function under SYSC...
constraints FCA certification preferred Strong risk management skills and understanding of the regulatory environment At BNY...
with FCA regulations and company policies. Qualifications and Skills: Proven experience as a Mortgage Broker, Mortgage...
in adhering to and promoting the FCA Consumer Duty with the organisation....
of integrity and conduct and reflecting Company Values, at all times complying with the FCA's Code of Conduct. To ensure..., care and diligence Be open and cooperative with the FCA, the PRA and other regulators Pay due regard to the interests...
information and reviewing FCA communications as they relate to Dealing activities, Conflicts of Interest, MAR and Regulatory... and good understanding of the Wealth Management industry, business activities and best practices. Ability to apply the FCA...