, plus appreciation for FCA regulations and principles for consumer outcomes. Ability to think strategically Team and stakeholder...
of the Financial Conduct Authority (FCA) and regulatory reporting overseen by the Prudential Regulation Authority (PRA). The... FCA's primary purpose is to protect consumers, protect the integrity of the financial system and to promote competition...
under the FCA, NFA and any other relevant governing body. Adhere to the operational risk framework for your role ensuring... and conduct and reflecting Company Values. At all times complying with the FCA's and international regulators Code of Conduct...
with paraplanners and administrators to deliver high-quality client outcomes Maintain high standards of FCA compliance and client care...
of successfully advising on a range of equity capital markets transactions In-depth knowledge of the UK Listing Rules, FCA...
– investigating potential breaches. Conduct regulatory disclosures for takeovers (FCA, Takeover Panel) and large shareholdings (SEC...
to FCA regulations Do you have what it takes to be a Evans Halshaw colleague? We’re looking for someone who...
Regulation Authority (“PRA”) and the Financial Conduct Authority (“FCA”). The core responsibilities of the Capital Reporting... Interpretation of the Regulatory rules which forms the basis of PRA / FCA reporting and providing regulatory guidance to the business...
from the investment team. - Ensure compliance with FCA investment regulations and other relevant regulatory requirements (e.g...
- Chief Risk Officer SMF16 - Compliance Oversight Function The post-holder must be approved by the FCA for these functions... and remain fit and proper in accordance with the FCA Handbook, Code of Conduct (COCON), and all relevant regulatory requirements...
heavily concentrated in the financial services sector, including FCA-regulated entities. This high performing team provides...
and is regulated by the FCA. Behaviours and Responsibilities: › Demonstrate proficiency in understanding the financial industry... › Experience with financial regulators (e.g., FCA, PRA, EBA, CBI, etc.) preferred › Strong project management skills › Advanced...
, ISAE 3402 / 3000, ISO 27001/27002 or similar assurance frameworks. Experience with regulatory audits including FCA, SEC...