designation under the FCA’s Senior Managers & Certified Regime. This means you will be responsible for compliance with SM&CR...
interesting spread of work advising on contentious and non-contentious regulatory matters (including FRC, FCA and ICAEW...
point of contact with the FCA and PRA; Promote a robust and professional Compliance culture in the Branch Develop, review...
firms or a regulator such as the FCA, SEC, NFA, etc. Thorough knowledge of the FCA Handbook and of U.S. regulations (SEC...
with financial services regulation and internal governance (e.g. SMCR, FCA requirements) Partner with HR, Finance, and senior...
either as part of the Compliance Good regulatory knowledge of FCA rules, MiFID II, UCITS, FUND, CASS, AIFMD, GDPR, KIID and PRIIPS...
to your professional training in the role. Training includes (but not limited to), Induction, FCA, Product and customer journey...
on any ad hoc topics that require attention Understand the UK Senior Manager Regime, priorities of the FCA and PRA, UK Company...
activities. Who We're Looking For Proven experience in compliance monitoring or a similar role. Knowledge of FCA...
-level committees (RCC/Board) Sound understanding of relevant regulatory requirements from PRA/FCA on risk and control...
and (e.g., PSD2, FCA guidelines), schemes and emerging fintech trends. Understand sector-specific landscapes and trends...