Bloomberg-London

Familiarity with financial markets and products is preferred, e.g. Fixed Income, FX, Commodities, and Equities, and FCA and EU regulatory developments....

8 days ago

Close Brothers Group Plc-London

Knowledge of PRA and FCA rules, especially the Consumer Credit sourcebook. As Compliance Monitoring Officer you will be part of the team responsible for...

8 days ago

Société Générale-London

Maintain a working knowledge of the FCA rules and regulations. Global Markets and Lyxor UK, SG Securities Services and other activities subject to FCA CASS...

Morgan Stanley-London

Broad understanding of the FCA and PRA Handbooks and the approach of regulators in EMEA and globally, with particular focus on US regulators....

Bloomberg-London

Working knowledge and understanding of FCA and EU regulatory developments. Job Requisition Number:....

XL Catlin-London

Preparing responses to information requests and general updates to regulatory bodies (e.g FCA and Lloyd’s). MAXIMIZE your opportunity....

Morgan Stanley-London

Broad understanding of the FCA Handbooks and Regulatory approach. Morgan Stanley is a leading global financial services firm providing a wide range of...

Citi-London

Knowledge of FCA rules and Market Abuse directive. Compliance and Control....

BNP Paribas-London

Excellent knowledge of UK and FCA regulatory requirements (including MIFID II). Assist in designing the Controls Monitoring plan and in managing regulatory...

Morgan Stanley-London

A broad understanding of the UK regulatory system and the FCA Handbook with a preference for knowledge and experience of the FCA’s rules and guidance for...

BNP Paribas-London

Management of the FCA and PRA registration requirements, including:. Submitting applications to the FCA and informing relevant parties when approvals have been...

Agilisys-Central Rochdale

Knowledge of FCA regulations and the data protection act. The ideal candidate should also have a good understand of FCA, TCF, OFCOM however this is not...

Lookers-Manchester

Have a good working knowledge on principle based, FCA regulation and handbooks. Compliance Monitoring Officer,....

Financial Conduct Authority-London

At the FCA, we're creating a fair and more resilient financial system. Able to demonstrate and role model the FCA cultural characteristics and the behavioural...

6 days ago

BNY Mellon-Liverpool

Good knowledge of the rules & regulations of FCA and LSE and ability to analyse legislation relating to other jurisdictions where Pershing Europe operate....

Citi-London

Under the guidance provided by the FCA and PRA, firms should have regard to the following when assessing fitness and propriety:. No....

3 days ago

Provident Financial-Bradford

Customer Service Advisor – Financial Services – Contact Centre – Jobs in Bradford – Call Centre – Inbound – Call Centre Agent – Finance – Banking – Loans – FCA....

6 days ago

esure Services Limited-Manchester M3

Good working knowledge of the FCA Handbook (and ideally the General Data Protection Regulation). Esure are recruiting for a Compliance Monitoring Officer....

4 days ago

Castleton Commodities International-London

Castleton Commodities International is searching for a Compliance Analyst/Associate to support all Compliance functions for the European operations of a...

12 days ago

Lookers-Belfast

Have a good working knowledge on principle based, FCA regulation and handbooks. Compliance Monitoring Officer,....


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