skillsets Ensure Service Level Agreements (“SLAs”) are met or exceeded within relevant Teams, and that FCA Regulatory...
within all FCA, regulatory requirements, as well as internal policy; the business is a very well-established name in the Investments... Services background (investments/wealth management even better) 2nd line compliance monitoring experience Knowledge of FCA...
monitoring reviews remotely and at client premises Writing compliance monitoring reports Drafting and/or reviewing FCA Reports... with industry professionals REQUIREMENTS: Proven experience in a compliance role within the FCA, an FCA regulated firm...
to facilitate this. Adhere to Quality Management Systems and comply with pensions and FCA regulations and initiatives, for example...
ability. Excellent communication and negotiation skills Self-motivated with a drive to succeed As the company are FCA regulated...
according to the FCA guidelines and logged immediately onto the in-house system. Full understanding of all contracts...
, finance, and insurance sales. We will provide you with sales process, FCA and compliance training through our Sales...
protection and cybersecurity concerns, regulatory matters and disputes and providing advice to FCA-regulated firms offering SIPPs...
improvements for ARs. Collaborate with internal stakeholders and external bodies (FCA, Lloyd's, BIBA). Key Skills & Experience...: 3-4 years of compliance experience, within insurance. Strong understanding of FCA rules (PRIN, ICOBS, SYSC, SUP) and AR...
to customers are in accordance to those laid down by the company along with FCA regulatory rules and guidelines. How you'll make...