FCA COMPLIANCE MANAGER jobs in LONDON, United Kingdom #5

for ensuring compliance with liquidity and capital regulatory requirements globally. The EMEA Treasury team is responsible..., investment management, regulatory ratio management, and overseeing compliance with entity policies and procedures. PayPal...

Business who are seeking to onboard a Client Manager into their Private Clients Management team. This full-time role involves... to clients. – Develop close working relationships with internal teams, including client services, marketing, and compliance...

developing processes, procedures, working methods and systems. You will also assist in the applications for obtaining an FCA... queries and instructions. You will provide support to any internal and external audits and compliance reviews. Key...

procedures to ensure FCA compliance Carry out regular performance reviews and 1:1 meetings with individual staff members...

and existing clients. Ensuring ongoing alignment to and compliance with the four outcomes linked to the FCA Consumer Duty... accordingly Represent the function appropriately to ensure complete adherence to; and understanding of; the risk and compliance...

with a competitive basic salary and benefits. What is expected of the Client Asset Lead? Ensure adherence and operational compliance... with FCA's CASS rules to safeguard client assets and money, included the timely and accurate completion of CASS reconciliations...

wider business and stakeholders Ensuring compliance with all regulatory requirements Delivering training to wider Legal... basis (2 days per week). Founded over 10 years ago, this FCA regulated FinTech is one of the largest platforms for lending...

frameworks. The role holder will have knowledge of the UK Operational Resilience Policy Statements (FCA & PRA) and Digital... or Practitioners Forum. Contribute to the Operational Resilience team’s (OReT) performance, ensuring compliance with the organisations...

framework applicable to Banks and FCA MIFPRU and other regulated entities, including within the EU under the CRR/CRD regulations... capital/liquidity/leverage calculations, ICAAP/ILAAP documentation and gap analysis of regulatory compliance Assist firms in...

framework applicable to Banks and FCA MIFPRU and other regulated entities, including within the EU under the CRR/CRD regulations... capital/liquidity/leverage calculations, ICAAP/ILAAP documentation and gap analysis of regulatory compliance Assist firms in...

adherence and operational compliance with FCA's CASS rules to safeguard client assets and money, included the timely... and accurate completion of CASS reconciliations. PProvide strategic and technical advice on CASS compliance to business...

, while ensuring compliance with legal and operational standards. Conduct quality checks on legal documentation to ensure compliance... transformation projects. Thorough knowledge of FCA regulations and internal governance frameworks. Proficient in facilitation...

to the Market Abuse Manager for secondary review as required. Conduct in depth investigations into potential market abuse... relevant regulators such as FCA as required. Assisting in maintaining appropriate desk based policies in relation to market...

managers and financial planners, providing them with guidance on potential liability/breach of FCA rules, procedures... with an issue or when to seek involvement of a colleague (including line manager). EXPERIENCE REQUIRED: Prior relevant industry...

out above, the Claims Manager's role will also be responsible for: Ensure compliance with Insurance Distribution... compliance with Munich Re's Code of Conduct and the FCA Conduct Rules Benefits You will be rewarded with a great...

Key Responsibilities 1. Assist the FX Business Manager in day-to-day queries from various Businesses and Functions... 2. Act by delegation of the FX Business Manager to maintain proper FX Governance, to lead commercial initiatives...

projects as required Compliance & Regulatory Responsibilities 1. Remain compliant with FCA requirements at all times 2.... Obtain appropriate approvals to ensure compliance with company policy, procedures and regulatory requirements and rules...