Candidates applying for this role must be aware that it is a Certified Role, subject to the FCA and PRA Certification Regime.... Under the guidance provided by the FCA and PRA, firms should have regard to the following when assessing fitness and propriety...
, POCA 2002, TACT, SAMLA, ECCTA, Bribery Act 2010, FCA Handbook and International Sanctions Exposure to international markets...
and other applicable FCA rules and guidance. Support business and regulatory compliance teams navigate core regulatory compliance areas... virtual asset and stablecoin regulatory frameworks. Interpret and advise on FCA expectations, and regulatory developments...
compliance with FCA rules, including SMCR Support MiFID II obligations (policies, controls, monitoring) Draft, review... Solid knowledge of: FCA regulatory framework, including SMCR, MiFID II, AML / CFT, ABC, conflicts Detail-oriented...
and other applicable FCA rules and guidance. Support business and regulatory compliance teams navigate core regulatory compliance areas... virtual asset and stablecoin regulatory frameworks. Interpret and advise on FCA expectations, and regulatory developments...
is preferred Comprehension of the FCA listing rules and disclosure requirements Our recruitment process: Interviewing...
distribution activity in line with FCA requirements. The Senior Compliance Manager will lead insurance Compliance initiatives... FCA conduct rules and financial promotions standards Champion the FCA Conduct and Consumer duty rules, acting as a senior...
Responsibilities Ensuring compliance with the company's regulatory requirements under the FCA Adhere to the operational risk... for demonstrating highest level standards of integrity and conduct and reflecting Company Values At all times complying with the FCA...
-performing team. Deliver safely: Maintain regulatory compliance (CQC and FCA). What We’re Looking For Experience of leading...
bodies, including the FCA and PRA, as and when required. Regulatory Engagement Maintain relationships with key regulators..., (e.g., FCA, PRA, CBI, FSRA, CMA) and ensure appropriate regulatory communications and responses to non-financial risk...
to and promoting the FCA Consumer Duty with the organisation....
’s financial results, and also adherence to external regulations such as the FCA where necessary. The team works collaboratively... and international regulations such as the FCA requirements, SOX for US companies and keeping updated with any changes that may impact...
BUT IT WOULD BE GREAT IF YOU HAVE: An understanding of the FCA draft Consultation Paper 25/27 An appreciation of the Court...
and information General IT skills IT IS NOT ESSENTIAL BUT IT WOULD BE GREAT IF YOU HAVE: An understanding of the FCA draft...
to and promoting the FCA Consumer Duty with the organisation....
to eliminate duplication while reviewing MI and overseeing their controls of the UK branch and meet both UK (FCA) and Luxembourg...