Client Assets Director
London, England, United Kingdom
This client is looking for a CASS or Client Assets lead. This is an oversight role but will involve various elements of the process including; controls testing, operational risk framework, production oversight and assisting in driving the client assets committees.
Oversight of the production of:
- Daily/Monthly Management Information production, including governance committee MI.
CASS Policy and Procedures and their maintenance.
- Monitoring and development of the controls around the Client Assets processes
- Challenge existing processes and governance oversight
- Implement best practise across functions in relation to CASS requirements and compliance
- Reduce the risk of reputational and regulatory failings associated with Client Assets
- Development and enhancement of Management Information around Client Assets
- Ensure the firm keeps up to date with the FCA CASS requirements and other Client Assets requirements
- Development of a working relationship with other departments both onshore and offshore, particularly Operations, Compliance, Risk, IT and Front Office Treasury
- Escalation of issues and incidents to the respective CF10a or SMR
- Main day to day contact point of CASS internal and external audits
- Management experience is a preferred
- Client Asset knowledge at either a regulatory body or banking organisation.
- Operations background preferred but regulatory knowledge around CASS is key.
- Self Starter
- Able to face to senior stakeholders
- Broker experience might be useful