Sourcebook (BCOBS), Data Protection Act 2018 (DPA 2018) and Anti-Money Laundering Regulations (AML). Knowledge of FCA... regulations including PS22/9 Consumer Duty, enhanced care needs Care Act 2014, Effective customer warnings FCA PRIN, Fraud counter...
to potential market abuse Draft and submit STOR's to the regulator such as the FCA as agreed by the financial crime risk manager...
areas related to FCA or EU consultations and policy statements, ESG etc. Undertakes research and summaries for senior legal... and commercial contracts. Knowledge of EU and UK regulatory rules, in particular those issued by the CSSF, CBI and FCA. Experience...
Compliance & Audit Management Ensure full compliance with local employment legislation, FCA/financial services regulatory...
business, with a particular focus on securitisations, MIFID and FCA-related activity. The role is London-based, serving the... and permissions across UK and European jurisdictions (e.g. FCA, Central Bank of Ireland), including new services, cross-border...
, MAR, MiFID II, FCA and RAO, working closely with internal teams and external stakeholders to ensure regulatory obligations... experience essential; Knowledge of MiFID, EMIR, REMIT, MAR and FCA rules and regulations commensurate with experience level...
and privacy-by-design principles in AI solutions. Ensure alignment with the EU AI Act, FCA/PRA guidance, and internal risk... and FCA guidance. Excellent communication, stakeholder management, and workshop facilitation skills...
assessment. The team typically partners with Financial Conduct Authority (FCA) solo regulated firms to provide advisory... (see above under Connect To Your Industry), providing in depth skills and expertise and practical understanding of the requirements of FCA...
Collaborating with advisers to refine recommendations and clarify client needs Ensuring all advice meets FCA requirements... reports Strong knowledge of pensions, investments, protection, and tax planning Awareness of FCA regulations, including COBS...
. Undertake regulatory horizon scanning across PRA and FCA sources. Track consultations, policy statements, supervisory... day. Experience Solid understanding of UK financial regulation (PRA, FCA) applicable to banks and payment services...
required. Adhere to all existing policies and directives and support the implementation of new ones where needed. Fully adheres to FCA... rules and guidelines. Your profile Degree level education. FCA competent, holding IAD or IMC qualification...
that convey a clear understanding of the unique needs of different audiences Detailed knowledge of FCA, MiFID, MIFIR, EMIR and MAR...