of our industry, FCA regulations and how our firm operates. This can then act as a pathway to further qualifications, such as the...
the firm meets its regulatory obligations under FCA rules, particularly in relation to advisory services and SIPP... preparation and submission of FCA regulatory filings and returns, ensuring accuracy and timely delivery. Regulatory Research...
products and asset management. Familiarity with pensions, investment advice, and UK taxation. FCA-approved status...
of the Financial Services industry and regulatory environment (PRA and FCA). Experience in a Third Party Risk or Third...
, and operations teams Ensuring all product features and processes meet relevant regulatory and scheme compliance requirements (FCA...
requirements (e.g., FCA, Central Bank of Ireland, and other designated EU authorities). - Serve as the primary point of contact...
As a certified colleague your details will be published on the FCA’s Financial Services Register This role has been identified... as a Client-dealing function under SYSC 27.8.18R as defined in the FCA Handbook The Person (“Pâ€) performs the client-dealing FCA...
obligations under MAR and FCA requirements, while continuously strengthening the effectiveness, efficiency, and maturity of the... detection capability and reduce false positives. Governance, Risk & Regulatory Compliance Ensure ongoing compliance with FCA...
Posting Description: Senior Internal Auditor Are you an Internal Auditor with experience working in FCA regulated...
planning, KPI management, coaching and performance improvement A strong understanding of regulatory frameworks (FCA, PRA...