, knowledge of the PRA Rulebook, Supervisory Statements, the FCA Handbook and Basel 3.1 Preparation or review of Internal Capital...
. Knowledge and understanding of both FCA and PRA regulations. Knowledge and understanding of UN, US, UK and EU sanctions...
compliance with relevant UK regulations, such as UK Corporate Governance Code, Companies Act and FCA rules Develop clear...
. Developing, managing and providing oversight of FCA / PRA requirements around Operational Risk. Identifying, developing...
in underrepresented communities. Key responsibilities include: Managing a caseload of debt advice clients, delivering FCA-compliant...
with UK regulatory requirements, supervision and coordination of FCA applications for fund changes. In addition...
compliance with the company's regulatory requirements under the FCA Adhere to the operational risk framework for your role... complying with the FCA's Code of Conduct To report any breaches of policy to Compliance and/ or your supervisor...
align with FCA requirements. Partner with business leaders to provide fit-for-purpose compliance support and advice to the... Looking For Required Skills, Experience, and Knowledge: Prior experience interacting with the FCA Prior experience serving in the capacity...
per day Start Date: ASAP About the Business Our client is a high-growth, FCA-regulated investment platform... Lead the CASS team and potentially act as the CASS Oversight Officer with the FCA Ensure timely and accurate client money...
ability. Excellent communication and negotiation skills Self-motivated with a drive to succeed As the company is FCA...
As the company is FCA-regulated, you must also be confident of passing background checks, which include adverse credit...
Responsibilities Ensuring compliance with the company's regulatory requirements under the FCA. Adhering to the operational risk... for demonstrating highest level standards of integrity and conduct and reflecting Company Values. At all times complying with the FCA...
expertise, strong stakeholder engagement, and the ability to manage a wide remit across a multi-entity, FCA-regulated...
of fund structures and investor reporting Familiarity with regulatory frameworks including FCA and AIFMD Commercial acumen...
of the regulatory environment, the FCA's Vulnerability Guidance and the Consumer Duty. Previous demonstrable experience...