and meets FCA requirements. In the early days you'll support with system testing, as well as providing cross functional support... and technical accuracy Support vulnerable customers and uphold FCA Consumer Duty principles Complete quality reviews and embed...
, transfers, and investment allocations, ensuring accuracy and adherence to FCA regulations and internal controls Monitor... in financial services, fintech, or investment operations Strong understanding of UK regulatory frameworks (FCA, AML/KYC...
to the FCA and PRA Certification Regime. The Certification Regime is one element of the Individual Accountability Regime... and proper to carry out their role. Under the guidance provided by the FCA and PRA, firms should have regard to the following...
Strategy and fully adheres to FCA-regulated processes. Guide and support the broking team, allocating responsibilities... understanding of compliance and FCA regulation Ability to work well as part of a team Demonstrate integrity and professionalism...
and strong customer outcomes within a regulated framework Act as a senior conduct and risk leader, ensuring compliance with FCA...
from submission to completion Liaise with lenders, solicitors and estate agents across London Maintain full FCA compliance...
and email Maintaining accurate records and updating CRM systems Ensuring compliance with GDPR, FCA and internal standards Supporting...
and FCA) and governance best practice. Proven experience developing or operating enterprise risk frameworks, risk appetite...
where appropriate Maintaining compliance with FCA regulations Delivering a high standard of customer service throughout the process...
, and inclusion. It strengthens our business and brings value to our clients. Your expertise chartered Financial Planner. FCA...