with regulatory and FCA-related reporting Supporting updates to Business Continuity Plans Coordinating with compliance to ensure...
with financial services regulation and internal governance (e.g. SMCR, FCA requirements) Partner with HR, Finance, and senior...
point of contact with the FCA and PRA; Promote a robust and professional Compliance culture in the Branch Develop, review...
interesting spread of work advising on contentious and non-contentious regulatory matters (including FRC, FCA and ICAEW...
firms or a regulator such as the FCA, SEC, NFA, etc. Thorough knowledge of the FCA Handbook and of U.S. regulations (SEC...
designation under the FCA’s Senior Managers & Certified Regime. This means you will be responsible for compliance with SM&CR...
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...
meets FCA requirements. Collaborate across teams, sharing insights and supporting initiatives that drive pricing...