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CASS VP - Compliance

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Salary Competitive
Type Permanent
Location London
Sectors Compliance
Operations
Job Reference T3A/JOES/31282
Contact Joe Smith
Date posted 09-04-2019

Our Client, one of the world's leading financial institutions is looking for an experienced and knowledgeable candidate to join their London Client Assets Control Group. The London Client Assets Control Group focuses on ensuring compliance with the FCA’s CASS rules. You will be part of a team that comprises a Quality Control Function, Governance & Oversight team and a BAU processing team.
You will form a key part of the team which is co-located in India and London and covers all aspects of daily BAU processing as well as monthly FCA reporting, Quality Control Testing and Governance Oversight.
As a Client Assets Control Group Associate your responsibilities will be:
• Working with the Client Assets Officer to ensure on-going compliance with the established governance structure within operations to manage daily client money / assets requirements in compliance with FCA CASS regulations
• Managing the CASS Resolution Pack(RP) for all FCA CASS regulated entities and the CASS RP attestation process
• Organising and support the CF10a in quarterly meetings and similar forums
• Preparing and manage materials for Client Assets Governance Committee and Operating Group meetings
As a Client Assets Control Group Associate your skills and qualifications will ideally include:
• An understanding of regulatory environment operated in the United Kingdom plus a working knowledge of the CASS regulatory requirements would be beneficial
• Risk Analysis skills - data and process
• Ability to analyse control process to identify key issues e.g. review control processes, map out key controls, identify control gaps and make recommendations

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Contact Joe about this job

AVP, Consultant