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|Location||City of London|
Wealth & Asset Management
A top tier Asset Manager is looking for an extremely strong CASS Compliance professional to enter the business at Director Level, and provide a first point of contact for the business on CASS queries and escalations. This role will report to the CF10a and support the CF10a in a deputy capacity. The role will consist of both BAU and Project activities, asnf you cover all aspects of CASS regulations.
Oversight of compliance with CASS regulations across all EMEA activities
Reporting to FCA, boards & governance committees on all CASS matter
Working in partnership with Compliance & Legal Teams to ensure regulations are understood & interpreted effectively into an operational environment
Providing training and guidance on CASS across the business globally
Assessment, design & implementation of all client asset & client money regulatory changes across EMEA activities.
CASS documentation including the CASS RP, Policies, Procedures, Risk Assessments
CMAR reviews & submission
CASS audits facilitation (including FCA & other regulatory /audit visits)
Implementing new CASS regulations across EMEA activities
Our client is open to background and will consider those from Asset Management, Investment Banking, Management Consultancy or Regulatory background ; however those with tangible Asset Management experience are preferred.
To be considered, candidates must have the following experience:
Demonstrable understanding of the current CASS rulebook, with particular focus around client money and mandate requirements
Background in Operations or Compliance with recent CASS experience preferred
Previous experience in Legal, Compliance, Audit or Finance would be helpful
Demonstrable experience in identifying & delivering continuous improvement
Familiarity with working in large organisations
Experience of working in a fast paced, dynamic environment
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