of personal insurance products and compliance (FCA, Consumer Duty) Experience in renewals, new business, and client queries...
on the Payer) Regulations 2017. Assist the CCO to oversee the branch's compliance with FCA/PRA regulations and JMLSG... FCA and PRA rules, AML regulations, and JMLSG guidance. Significant experience in managing AML, sanctions compliance...
with the Financial Conduct Authority (“FCA”) in relation to the set-up of all Appointed Representatives and approved persons... level (2:1 and above desirable). Previous experience in FCA regulation would be an advantage however is not essential...
FROM YOU IF YOU HAVE/ARE: Good understanding of AML regulations and CDD requirements, sanctions risk, the UK sanctions regime and the FCA’s guidance...
and complying with FCA guidelines Maintain core systems ensuring that all documents are uploaded to the back-office system...
FCA filings: FCA Regdata (quarterly/annually); and FCA Connect (ad hoc) Assisting with SM&CR requirements, including...
with precision, empathy, and efficiency. Keep our complaint resolution process razor-sharp and fully aligned with FCA regulations...
with precision, empathy, and efficiency. Keep our complaint resolution process razor-sharp and fully aligned with FCA regulations...
, and empowered to thrive. Candidates applying for this role must be aware that it is a Certified Role, subject to the FCA and PRA... out their role. Under the guidance provided by the FCA and PRA, firms should have regard to the following when assessing...
in a high pressure, deadline orientated environment FCA certification and ACT Cert ICM an advantage Skills Account...
, subject to the FCA and PRA Certification Regime. The Certification Regime is one element of the Individual Accountability...) are assessed as fit and proper to carry out their role. Under the guidance provided by the FCA and PRA, firms should have regard...
to the FCA/PRA/other Regulators Advise senior management and staff on changes in the rules and regulations and compliance... of conduct issued by the FCA under the Senior Managers Regime....