, you'll be working within our dedicated Compliance team to help the firm meet the requirements of the FCA and other relevant... development. Skills And Attributes Detailed, and current, technical knowledge of the FCA Handbook, MiFID II, MAR, SMCR, AML...
and compliant suitability reports Ensuring all advice documentation is compliant according to FCA guidelines Working with the...
250 passionate employees transforming the industry across the Group, one home at a time FCA Code of Conduct... under the strict guidelines and regulations set forth by the Financial Conduct Authority (FCA). We are committed to maintaining...
. This includes supporting the Board and Committees in the monitoring and implementation of governance requirements set out by the FCA...
File statutory returns with external bodies such as Companies House and the FCA, ensuring deadlines are met Provide day...
with production of FCA reporting as well as supporting payment practices submissions. Preparation and presentation of monthly...
agreements Dealing with internal/external telephone communications within FCA guidelines Pursuing unpaid balances Responsible...
and compliant suitability reports Ensuring all advice documentation is compliant according to FCA guidelines Working with the...
required standards for providing fair financial advice and services to our customers, adhering to FCA regulations Do you have what it...
development. Experience & Knowledge Solid understanding of the FCA T&C framework and associated supervisory requirements...