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...
with FCA rules (COBS, PROD, SYSC, Consumer Duty). Assess the suitability of pension switches/transfers, investment... all advice and record-keeping meets FCA requirements, business policies and Consumer Duty outcomes. Highlight potential rule...
and continue to meet all FCA threshold conditions. Support the development and delivery of compliance training and briefings.... Lead the interpretation and implementation of FCA and PRA rules, guidance, and policy changes, ensuring controls...
CPS230, FCA/PRA Operational Resilience requirements, or equivalent), with the ability to align the firm's practices to client...
to date with FCA regulations, Consumer Duty and UK GDPR Work closely with marketing and IT to ensure compliant communications... if you are: Experienced in compliance, risk or quality assurance — ideally within financial services Familiar with FCA regulations, Consumer...
to thrive 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...
for this role must be aware that it is a Certified Role, subject to the FCA and PRA Certification Regime. The Certification Regime... by the FCA and PRA, firms should have regard to the following when assessing fitness and propriety: Honesty, integrity...
and reflecting Company Values At all times complying with the FCA's Code of Conduct To ensure that you are fully aware... and diligence Be open and cooperative with the FCA, the PRA and other regulators Pay due regard to the interests of customers...
for this role must be aware that it is a Certified Role, subject to the FCA and PRA Certification Regime. The Certification Regime... by the FCA and PRA, firms should have regard to the following when assessing fitness and propriety: Honesty, integrity...
Manager The Skills You'll Need: Mandarin, IT system, IT infrastructure, Governance, FCA Your New Salary: up to £85k..., and security assurances meet FCA and internal requirements. Support due diligence and ongoing monitoring of IT third parties...
A well‑established, FCA‑regulated consumer finance provider specialising in secured lending. With more than a decade... loan accounts throughout their lifecycle, ensuring all engagement and activity aligns with FCA regulations, internal...
. Completing and submitting returns and reports to the FCA and other authorities. Maintaining and updating databases. Preparing... management information and reports to internal stakeholders. Ad hoc research on FCA rules and laws and regulations affecting...
direction for key strategic compliance projects. This role involves providing expert advice on Lloyd’s and FCA/PRA regulations...
with UK legal requirements and FCA expectations. This is a hands-on role with real ownership, ideal for someone who enjoys... and FCA standards, while supporting a growing organisation in an early-stage UK setup. You will collaborate closely with the...
to their structures Advising firms on managing their relationship with PRA and FCA, including providing technical prudential advice... on applications to the PRA and FCA for regulatory authorisations, permissions and waivers. Providing technical prudential regulatory...