What we would like you to bring Awareness knowledge of FCA compliance and financial requirements Financial and business acumen Proficiency...
in recent years. At the same time, financial vulnerability has grown significantly. FCA research indicates...
and international AML rules, ensuring KYC due diligence and annual reviews are conducted. Comply with FCA and PRA conduct rules...
to join the team. The Senior Paraplanner analyses trading client portfolios and accounts to provide FCA regulated advice...
Final *As an FCA-regulated business, we conduct background checks (DBS and AML) on all successful candidates who...
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 motivated to succeed Compliance & Values You will be expected to operate in line with the FCA Conduct Rules, acting...
Excellent working knowledge of financial standards and guidelines – e.g. FCA, Consumer Duty, Data Protection Experience...
knowledge of FCA CONC, Consumer Duty, SME lending standards, Treating Customers Fairly (TCF), vulnerability guidance...
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 certification function for a firm if:(1) P...