from internal sources. Ensure that the Sales Team present the approved Finance presentation, in accordance with FCA regulations...
and cooperative with the FCA, the PRA and other regulators Pay due regard to the interests of customers and treat them fairly...
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...
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...
working knowledge of relevant regulations (e.g. FCA Handbook, JMLSG, FATF, MLRs, PSRs) A degree (2:1 or above) â³ 3+ years...
and influencing skills. Understanding of Risk Management in relation to insurance. SRA/FCA/Regulatory understanding Ability to work...
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...
) with clear AUM track record. Relevant professional qualifications - minimum CISI Level 4 (CFA, CISI, or equivalent) with FCA...
and understanding of FCA rules and how to comply with them is desirable, but not essential. A strong customer service focus...