to support strategic initiatives and drive growth. Ensure all sales and distribution activities comply with FCA regulatory...
and experience for the Deputy Head of Compliance role: Dip CII qualified Understanding of FCA requirements, including ICOB...
qualifications - minimum CISI Level 4 (CFA, CISI, or equivalent) with FCA registration for client dealing. Excellent interpersonal...
-business opportunities in collaboration with executives Ensure compliance with FCA regulations in all broking activities... Strong attention to detail and organisational ability Sound knowledge of FCA regulatory requirements Ability to work collaboratively...
reports, cover summaries, and ensure all documentation meets FCA standards Identify and act on new business opportunities...
and operational activities Key Skills Strong technical knowledge of UK corporate governance, company law and FCA requirements...
Maintain accuracy across internal DMS systems, proposal platforms, and other digital tools Ensure compliance with FCA... Experience in automotive finance, digital sales, or a customer-focused management role Knowledge of FCA compliance requirements...
compliance with FCA regulations, Consumer Duty obligations, and internal standards. Identify opportunities to enhance client... compliance with FCA regulations and internal standards. SKILLS Strong client-focused communication and service skills...
with FCA regulations and Consumer Duty obligations, providing guidance to clients and maintaining accurate documentation... Track record in business generation and client portfolio management Understanding of FCA regulations and Consumer Duty...
compliance (SRA and FCA) Brings strong drafting, litigation, and leadership skills Is vibrant, professional, and comfortable..., and external Counsel to secure support and resource litigation properly Maintain regulatory compliance with SRA and FCA...