throughout the process. We are regulated by the FCA, and the Central Bank of Ireland, and handle billions in currency transfers...
, or travel).Proven leadership and team management experience within a compliance function.Strong knowledge of FCA regulations...
of experience in regulatory change programmes (ideally with the FCA), risk management, or related fields, with demonstrated success...
for SEI and partner solutions. Adhere to all relevant FCA requirements and compliance, completing all necessary training... subject to the relevant Senior Manager and Certification Regime Rules set by the FCA. This role will perform the following...
and ensuring adherence with FCA and other regulations (eg. MiFID II). Support the business with transactional work and escalate... FCA rules governing: outsourcing, client assets, data protection and conflicts, which impact on the products and services...
and ensure all electronic files meet FCA and RIBL compliance standards. Contribute to the planning and execution of marketing... initiatives and business development activities. Uphold the FCA and PRA Conduct Rules and act in accordance with the Consumer...
where applicable. Develop budgets, forecasts, and management reports. Regulatory & Compliance Ensure full compliance with FCA...) and monitor capital and liquidity positions. Maintain up-to-date knowledge of FCA and PRA financial regulations relevant to the...
track record in handling high-stakes matters with agencies such as the SFO, DOJ, FCA, OFAC, and international regulators...
and reports to the FCA and other authorities. Maintaining and updating databases. Preparing management information and reports... to internal stakeholders. Ad hoc research on FCA rules and laws and regulations affecting the firm. Carrying out various...
). Production of Management Information. Collating information for and completing the FCA reports on RegData. Understanding...) and completing NCA reporting FIT & Proper / SMCR Checks including updating the FCA Directory. Assisting with meeting the...
Job Description A UK FCA-regulated trading company is seeking a seasoned Head of Compliance / MLRO to lead its..., ensuring adherence to FCA and AML requirements, and fostering a culture of compliance across all business areas. The...