Loans Support Analyst
, due skill, care, and diligence in line with FCA and PRA Conduct Rules. Ensure all necessary finance services...
, due skill, care, and diligence in line with FCA and PRA Conduct Rules. Ensure all necessary finance services...
accurate client records and digital client files Keep up to date with FCA, SEC and regulatory authorities Dealing... financial planning, investment management, and tax needs. We are regulated by the US SEC and the UK FCA, and all our advisors...
all work complies with FCA regulations and internal procedures Maintaining accurate client records and supporting internal... services setting) Knowledge of FCA regulations, AML, and general compliance Familiarity with CRM systems such as Intelliflo...
and advise on emerging regulatory risks and how they might impact our business Regulatory knowledge and experience of FCA rules...
within the Lloyds market or wider general insurance sector Knowledge of FCA CASS 5 (Insurance Client Money) requirements...
of ROI and/or NI employment law and CBI/FCA requirements for recruitment and selection including an understanding of how MCC...
Advisers Working knowledge of FCA regulation, including MiFID II, MiFIDPRU, SM&CR, and COBS Diploma in Financial Planning... (or equivalent) required Advanced CII qualifications desirable Experience supporting FCA applications advantageous Excellent...
to your professional training in the role. Training includes (but not limited to), Induction, FCA, Product and customer journey...
to ensure the product meets all regulatory requirements set by the FCA (Financial Conduct Authority) and other relevant bodies...
meet UK regulatory expectations-FCA CONC, Consumer Duty, and affordability rules-to drive good customer outcomes and align... Qualifications: Strong working knowledge of UK consumer credit regulation, including FCA CONC, Consumer Duty, LSB standard, CCA...