and new business activity Maintaining compliance and accurate client records in line with FCA standards Building...
John Clark ( Aberdeen ) Limited is authorised and regulated by the Financial Conduct Authority ( FCA ) under firm reference... by visiting the FCA's website, https://register.fca.org.uk or by contacting the FCA on 0800 111 6768. We have six wholly owned...
strong understanding of financial planning principles with a specialism in pension planning Very strong understanding of the FCA's COBS...
, UK GAAP and IFRS17 reporting Comply with the FCA's conduct (and senior conduct) and Consumer Duty rules and the PRA...
FINANCIAL DISCLOSURE John Clark ( Aberdeen ) Limited is authorised and regulated by the Financial Conduct Authority ( FCA... Services Register by visiting the FCA's website, https://register.fca.org.uk or by contacting the FCA on 0800 111 6768...
in line with FCA guidelines. Ensure full compliance with Health & Safety, Environmental, and Quality procedures. Support the...
compliance with company standards and FCA regulations Working closely with senior leadership to shape strategy and client...
strategy. 2. Oversee the regulatory transition to FCA regulation for a defined number of SIB subsidiaries, drawing together... the relevant internal documentation, working with the FCA - and any specialist retained consultants - to ensure that SIB...
role-holder is expected to meet the following FCA Conduct Rules when performing their role under the Certification Regime.... FCA/PRA Conduct Rule (COCON) Responsibilities I abide by the FCA’s Conduct Rules when discharging my responsibilities...
will be responsible for monitoring compliance with the FCA CASS regulations. What the role involves: Ensure CASS risks are identified...