, implement and support automation for reporting efficiencies · Post-Trade monitoring – Conduct daily post-trade (FCA COLL... and experience of the UK regulatory environment and rules prescribed in the FCA Handbook, in particular the, CIS, COLL, FUND, COBS...
as part of a team Good understanding of compliance and FCA regulation How we support our colleagues In addition...
required standards for providing fair financial advice and services to our customers, adhering to FCA regulations Do you have what it...
agreements, etc. KNOWLEDGE & EXPERIENCE: Essential: Previous experience in an FCA regulated insurance firm...
. Understanding of FCA regulations and how they impact advice firms. Above all, we love someone with a positive attitude and who...
, pipeline, and workload distribution to maximise productivity Ensuring FCA compliance, maintaining documentation...
of the Team, ensuring clients receive high-quality advice aligned to FCA and company regulations. The Role As Care Team..., compliant inductions. Oversee workload distribution, performance and adherence to FCA regulation through supervision, file...
T&C reports/ KPIs Assist with other reporting such as FCA returns Assistance in administration of T&C processes...
report to CDO | Build the DS capability | FCA-regulated product This is a rare opportunity to join a fast-growing, FCA.... The business has built a highly successful SaaS platform in the Fintech space. With strong investment and FCA approval...
regulatory bulletins (e.g. from ABI and FCA) Essential Skills We don't expect you to know everything from day one, but the...