-to-date client records in line with FCA and company standards. Supporting Financial Planners in client meetings, including cashflow...
), which is FCA authorised. We do not directly manager securities, but instead create portfolios of specialist third-party managers...
-to-date client records in line with FCA and company standards. Supporting Financial Planners in client meetings, including cashflow...
Framework ensuring it remains compliant, in line with the latest FCA and PRA guidance, and that we are continuously improving...
is the FCA regulated asset manager for eight local authority pension funds across the Midlands. LGPSC is jointly owned... discipline. FCA approval requirements may apply depending on regulatory classification What do we offer? We are proud...
-selling and upselling additional products. Compliance & Regulatory Adherence Ensure all activities comply with FCA...
and documentation in line with FCA requirements. Liaising with advisers, paraplanners, and product providers to obtain valuations...
to completion. Assist with compliance checks and ensure files meet FCA requirements. Keep internal processes and client...
operating under the FCA framework. Reporting to the Group Chief Risk Officer, the role sits within the second line of defence... management or financial advice. Strong working knowledge of FCA regulation, including advisory, insurance distribution...
compliance frameworks aligned with UK regulatory requirements, especially FCA rules Lead regulatory readiness for market entry..., including FCA rules Proven ability to design policies and manage complex compliance programmes Strong communication...