to detail, and full compliance with company policies, procedures, and industry regulations (including FCA requirements...
Roles) are assessed as fit and proper to carry out their role. Under the guidance provided by the FCA and PRA, firms...
and understanding of FCA rules and how to comply with them is desirable, but not essential. A strong customer service focus...
the firm meets its regulatory obligations under FCA rules, particularly in relation to advisory services and SIPP... preparation and submission of FCA regulatory filings and returns, ensuring accuracy and timely delivery. Regulatory Research...
from internal sources. Ensure that the Sales Team present the approved Finance presentation, in accordance with FCA regulations...
: Managing the relationship with UK regulators (PRA/FCA), ensuring the branch meets all reporting requirements. Business... and submission of a significant portfolio of BoE and PRA/FCA regulatory returns, including but not limited to: Statistical Returns...
from internal sources. Ensure that the Sales Team present the approved Finance presentation, in accordance with FCA regulations...
as a subject matter expert in areas such as regulatory compliance (FCA, PRA), fraud prevention, customer experience (CX...
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 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...