with legislation, Consumer Duty, FCA regulations and policies and procedures. Keeping things safe and sound in branch, especially when...
Maintain full FCA compliance and accurate client records About You Fully CeMAP (or equivalent) qualified Proven... Lancashire, Shared Ownership Mortgage Broker, Whole of Market Adviser, CeMAP Qualified Mortgage Advisor, FCA Compliant Mortgage...
to detail, and full compliance with company policies, procedures, and industry regulations (including FCA requirements...
experience in second line compliance monitoring or internal audit. Strong knowledge of FCA conduct and regulatory expectations...
of our industry, FCA regulations and how our firm operates. This can then act as a pathway to further qualifications, such as the...
required standards for providing fair financial advice and services to our customers, adhering to FCA regulations Do you have what it...
must be aware that it is a Certified Role, subject to the FCA and PRA Certification Regime. The Certification Regime... by the FCA and PRA, firms should have regard to the following when assessing fitness and propriety: Honesty, integrity...
Qualification A person carrying out a role that requires a regulatory qualification as defined within the FCA Training & Competence...
and conduct thorough investigations into potential misconduct or regulatory breaches by ARs in line with FCA expectations. Gather... investigations within a regulated environment, ideally involving AR-related conduct matters. Understanding of FCA and PRA...
complies with FCA regulations and internal processes Support Account Executives with placement and client servicing...