accordingly. Strong ethical standards aligned with the FCA's Senior Managers Regime....
in adhering to and promoting the FCA Consumer Duty with the organisation....
support with addressing the regulatory requirements and expectations of the Financial Conduct Authority (FCA). The team... and implementation of remediation plans following FCA reviews Supporting project management and process delivery, including, stakeholder...
constraints FCA certification preferred Strong risk management skills and understanding of the regulatory environment At BNY...
of integrity and conduct and reflecting Company Values, at all times complying with the FCA's Code of Conduct. To ensure..., care and diligence Be open and cooperative with the FCA, the PRA and other regulators Pay due regard to the interests...
of integrity and conduct and reflecting Company Values, at all times complying with the FCA's Code of Conduct. To ensure..., care and diligence Be open and cooperative with the FCA, the PRA and other regulators Pay due regard to the interests...
SEC, FINRA, FCA (UK), GDPR (EU), SFC (Hong Kong) and IIROC (Canada) Advise internal teams on a broad spectrum of legal...
Strong interpersonal skills and willingness to collaborate with broader team Robust compliance track record FCA registration...
and willingness to collaborate with broader team Robust compliance track record FCA registration required (must be obtained...
and asset management opportunities. They operate an FCA regulated investment platform which uses technology to break...
compliance track record FCA registration required (must be obtained within first six months of employment) ABOUT GOLDMAN...
team Robust compliance track record FCA registration required (must be obtained within first six months of employment...
modelling Advisor to PSR and FCA on market investigations including developing proposals for remedies Advisor to CAA on cost...
and direction to the compliance advisory teams, ensuring alignment with FCA regulations and internal risk frameworks. You will act... on FCA priorities such as Consumer Duty and vulnerable customer protections. Develop and maintain strong relationships...
. A Real Estate Investment Management firm which is 100% management owned which FCA authorised. Hybrid working Salary...