by: Managing a portfolio of FCA CASS clients, ensuring audits are delivered on time and to the required quality standards...
to detail, and full compliance with company policies, procedures, and industry regulations (including FCA requirements...
. Your focus will be on COREP reporting, but may extend to other regulatory returns (FINREP, PRA/FCA Returns). There...
with regulatory returns via RegData Supporting Adviser permissions, registrations and updates through FCA Connect Liaising... or financial planning environment Some experience or strong exposure to RegData regulatory returns and FCA Connect Adviser...
to detail, and full compliance with company policies, procedures, and industry regulations (including FCA requirements...
As a certified colleague your details will be published on the FCA’s Financial Services Register This role has been identified... as a Client-dealing function under SYSC 27.8.18R as defined in the FCA Handbook The Person (“P”) performs the client-dealing FCA...
and associated regulatory obligations. You have strong technical knowledge of FCA regulatory frameworks relevant to authorised firms..., particularly investment businesses, including SYSC, COBS, AIFMD, MiFID, and FCA FUND requirements. You have experience managing...
safeguarding, ensuring our customer funds protection framework adheres fully to the FCA's new regime. We're...
and associated regulatory obligations. You have strong technical knowledge of FCA regulatory frameworks relevant to authorised firms..., particularly investment businesses, including SYSC, COBS, AIFMD, MiFID, and FCA FUND requirements. You have experience managing...
and RFPs Ensure compliance with internal governance and FCA regulatory requirements About You Minimum 2 years...
, including offering memoranda and side letters. Provide regulatory advice on FCA, AIFMD, MiFID II, and related regimes. Manage...
. Degree/MBA and relevant professional certifications in Compliance. Sound knowledge of UK financial regulations (FCA, PRA...
to the FCA and PRA Certification Regime. The Certification Regime is one element of the Individual Accountability Regime... and proper to carry out their role. Under the guidance provided by the FCA and PRA, firms should have regard to the following...
regulatory requirements, including FCA rules and broader UK/EU financial regulations. This is a hands-on role suited...
relationships with key stakeholders at BoE and FCA, ensuring LBG’s voice is prominent across the Digital Assets space. Advising... in roles connected to the FCA or Bank of England’s payments or digital assets regulatory or oversight teams...