, 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...
prudential requirements for both PRA (banks, systemic broker dealers) and FCA regulated entities (MIFIDPRU firms, payment firms... regulatory framework applicable to Banks, FCA MIFIDPRU and other regulated entities (e.g. PRA/FCA Rulebooks and related...
, performance reviews and escalation Alignment with internal policies and regional regulatory requirements (CBI, PRA, FCA, MAS, CID...
including subject matter expertise in relation to the Market Abuse Regulation, MIFiD and the FCA Handbook Some other highly..., or accountancy will be advantageous Sound knowledge and understanding in relation to the FCA Anti-Greenwashing rule. This role...
This role is a controlled function under the FCA rules. Employees must obtain and maintain certification in order to be employed...
. Regulatory Returns - Reporting of financial data required by regulators (FCA, CBI, etc.), including RMA returns and Financial...
, larger corporates, multinational groups, and FCA-regulated entities. The role also offers exposure to ad hoc advisory work...
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...
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...