interesting spread of work advising on contentious and non-contentious regulatory matters (including FRC, FCA and ICAEW...
either as part of the Compliance Good regulatory knowledge of FCA rules, MiFID II, UCITS, FUND, CASS, AIFMD, GDPR, KIID and PRIIPS...
with full responsibility for FCA compliance oversight Conduct a comprehensive review and gap analysis of the firm's compliance... policies, procedures and reporting across the business Oversee regulatory interactions with the FCA and, where relevant, Lloyd...
to achieve objectives whilst ensuring products, customer journeys, operational processes, and strategic initiatives meet FCA... areas, building strong relationships and influencing decision‑making. Interpret FCA rules and guidance (CONC, PSR...
-level committees (RCC/Board) Sound understanding of relevant regulatory requirements from PRA/FCA on risk and control...
activities. Who We're Looking For Proven experience in compliance monitoring or a similar role. Knowledge of FCA...
's global Compliance team, supporting the UK Head of Compliance & MLRO in overseeing the firm's compliance with FCA, HMRC... Responsibilities Maintain and enhance the UK Compliance and AML/CTF Framework in line with the FCA Handbook, UK Money Laundering...
Have a good knowledge of FCA requirements and insurance legislation Be able to demonstrate good lateral thinking and problem...
meets FCA requirements. Collaborate across teams, sharing insights and supporting initiatives that drive pricing...