Conduct Authority (FCA), the UK financial services regulator, to undertake regulated activities on behalf of its clients... Must act with due skill, care and diligence Must be open and cooperative with the FCA and other regulators Must pay due...
/ Qualifications needed for this role: Some experience of the FCA and/or Financial Services regulatory environment Stakeholder...
regulated by the FCA we would advise you to familiarise yourself with the conduct regulations and in particular consumer duty...
, performance reviews and escalation Alignment with internal policies and regional regulatory requirements (CBI, PRA, FCA, MAS, CID...
. Assistance in audits (internal/external: statutory audit, CASS 5 audit) Supporting corporation tax, VAT returns Supporting FCA...
business applications and scheme set-up. Support in maintaining compliance and ensuring all processes adhere to FCA...
: Be required to deputise for Senior Lawyers when required. Assist in any dealings with the FCA, PRA and other regulatory or trade bodies.... Ideally, you'll have technical knowledge of consumer credit law, general consumer law as well as applying FCA Principles, FCA...
, including a basic DBS and credit check conducted by our third-party partner, Experian. As this is an FCA Certified role..., and complete the FCA's Short Form A. Annual reassessment and conflict-of-interest declarations will be required. Ready to lead...
proposition Nest Invest Ltd (Nest Invest) is authorised and regulated by the Financial Conduct Authority (FCA). For the role... FCA's Code of Conduct (COCON), specifically the individual Conduct Rules defined by the FCA. Keyboard Shortcuts F9...
will be in touch. As a business regulated by the FCA we would advise you to familiarise yourself with the conduct regulations...