planning, KPI management, coaching and performance improvement A strong understanding of regulatory frameworks (FCA, PRA...
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...
packages Meeting the required standards for providing fair financial advice and services to our customers, adhering to FCA...
of FX derivatives and interest rate derivatives essential for product discussions and sales. FCA licensing or equivalent...
safeguarding, ensuring our customer funds protection framework adheres fully to the FCA's new regime. We're...
standards. Working knowledge of FCA compliance rules. Competent user of insurance client system;Acturis an advantage...
with insurers to obtain quotations, underwriting decisions, and policy documentation. Maintain accurate records in line with FCA... on high-quality output. Proficient in Microsoft Office and CRM systems. Understanding of FCA regulations...
and associated regulatory obligations. You have strong technical knowledge of FCA regulatory frameworks relevant to authorised firms..., particularly investment businesses, including SYSC, COBS, AIFMD, MiFID, and FCA FUND requirements. You have experience managing...
and credit checks 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...
on FCA and PRA regulatory requirements for banks, investment firms, and asset managers. Supporting clients on regulatory...