as a subject matter expert in areas such as regulatory compliance (FCA, PRA), fraud prevention, customer experience (CX...
working knowledge of relevant regulations (e.g. FCA Handbook, JMLSG, FATF, MLRs, PSRs) A degree (2:1 or above) â³ 3+ years...
: Final: Values-based Interview & Co-founder Final *As an FCA-regulated business, we conduct background checks (DBS and AML...
and understanding of FCA rules and how to comply with them is desirable, but not essential. A strong customer service focus...
) with clear AUM track record. Relevant professional qualifications - minimum CISI Level 4 (CFA, CISI, or equivalent) with FCA...
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...
. Taking end-to-end ownership of complaints, ensuring adherence to internal policy and FCA regulations. Analysing complaint... processes. What excites us 3+ years of complaints handling experience within an FCA-regulated environment. Practical...
from internal sources. Ensure that the Sales Team present the approved Finance presentation, in accordance with FCA regulations...
to motivate retail teams Skilled at generating sustainable leads, managing OEM relationships, and driving upsell campaigns FCA...
and cooperative with the FCA, the PRA and other regulators Pay due regard to the interests of customers and treat them fairly...