compliance training to the front office. Requirements 7 - 12 years of compliance experience on the buy side Strong FCA...
player Desire to develop underwriting capabilities Compliance & Regulatory Responsibilities Remain compliant with FCA...
environment. Knowledge of compliance reviews, mifidII reporting, compliance monitoring, audit assurance, FCA Regulations...
or asset manager Good understanding of FCA regulatory requirements on investment businesses Able to interpret complex...
systems efficiently, adhere to FCA regulations, and follow company compliance procedures. Key Responsibilities: Respond...
This accountability appears in all role profiles - please do not delete when editing Understand how FCA Conduct Rules...
(minimum 3 years) in a similar role Similar dealings within an FCA regulated firm Key attention to detail The ability to work...
of the Role: As Complaints Handler, you will be responsible for effectively managing complaints in accordance with both FCA... to resolution. Working knowledge of FCA rules. Proficient in the use of Microsoft Office Suite. Excellent written...
requirements under the FCA, NFA, AMF, AFM, MAS and any other relevant regulatory bodies. Adhere to the operational risk framework... level standards of integrity and conduct and reflecting Company Values. At all times complying with the FCA's Code...
requirements under the FCA, NFA, AMF, AFM, MAS and any other relevant regulatory bodies. Adhere to the operational risk framework... level standards of integrity and conduct and reflecting Company Values. At all times complying with the FCA's Code...