to detail, and full compliance with company policies, procedures, and industry regulations (including FCA requirements...
Posting Description: Senior Internal Auditor Are you an Internal Auditor with experience working in FCA regulated...
. Your focus will be on COREP reporting, but may extend to other regulatory returns (FINREP, PRA/FCA Returns). There...
as required by Brown Shipley to meet the company's agreed business plan To conduct your business in accordance with FCA Rules and Internal...
with legislation, Consumer Duty, FCA regulations and policies and procedures. Keeping things safe and sound in branch, especially when...
to motivate retail teams Skilled at generating sustainable leads, managing OEM relationships, and driving upsell campaigns FCA...
with regulatory returns via RegData Supporting Adviser permissions, registrations and updates through FCA Connect Liaising... or financial planning environment Some experience or strong exposure to RegData regulatory returns and FCA Connect Adviser...
to detail, and full compliance with company policies, procedures, and industry regulations (including FCA requirements...
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...
from internal sources. Ensure that the Sales Team present the approved Finance presentation, in accordance with FCA regulations...