Compliance Consultant, CASS Compliance Consultant, CASS …

in Basildon, England, United Kingdom
Permanent, Full time, Hybrid
Last application, 16 Jan 22
in Basildon, England, United Kingdom
Permanent, Full time, Hybrid
Last application, 16 Jan 22
Posted by:
Janine Carter • Recruitment Business Partner
Posted by:
Janine Carter
Recruitment Business Partner
Bovill is an independent, specialist financial services regulatory consultancy with a global offering. We specialise in helping clients solve difficult and interesting problems, so we look for people who thrive on intellectual challenge, can roll up their sleeves to delve into issues and get satisfaction from helping clients.

We are looking for a Consultant to deliver specialist CASS advice to all Bovill clients across a range of industries, including Wealth Management, Broking and Banking. The CASS team within Bovill specialises in the delivery of CASS advice, healthchecks and assurance work.  The work done by the CASS team focusses primarily on CASS 1A, 6, 7, 8 and 10 with occasional work requirements around CASS 3 and 5. 

The successful candidate will also participate in marketing and business development to ensure that they have a sufficient pipeline of client work, as well as assist with technical research and producing technical materials.  They will also be willing to turn their hand to other areas of regulation when client demand warrants.

Responsibilities will include:

  • Providing high quality advice and support to clients on a range of regulatory compliance matters. This may include:
    • providing CASS input into FCA authorisation or variation of permission projects
    • conducting CASS regulatory reviews and outsourced internal audits
    • delivering training sessions and workshops for CASS staff and senior management
    • drafting policies and procedures
    • working with firms to build compliant record check and reconciliation processes
    • responding to ad-hoc and routine regulatory queries
  • Act as the main point of contact for a portfolio of clients.
  • Build and maintain professional working relationships with clients, trade bodies, the FCA and other Regulators
  • Actively seek to increase Bovill’s pipeline by targeting new clients, as well as leveraging existing client relationships to maximise opportunities for up-selling and cross-selling
  • Prepare well-presented, fit-for-purpose accurately priced proposals and present these to prospective clients
  • Represent the firm at industry events, promoting the Bovill brand
  • Participate in internal events and training sessions such as client briefings and roundtable events
  • Take personal responsibility for achieving the agreed sales targets to ensure a sufficient pipeline of client work

Successful applicants will have:

  • A degree level education
  • Knowledge and experience of FCA rules
  • Demonstrate deep understanding of both the operational and regulatory aspects of CASS compliance
  • A strong technical understanding of FCA CASS rules, auditor expectations and key areas of industry best practice
  • Knowledge and experience of different CASS models including direct custody, triparty and sub-custody arrangements
  • A detailed understanding of CASS record check and reconciliation requirements including the ability to review and test reconciliations for compliance CASS 6.6, 7.15 and 7.16
  • A broad understanding of how investment and trading houses work such that you can confidently talk to clients about their business in areas other than CASS
  • Proven track record of exceeding financial goals and sales targets; consulting experience would be advantageous
  • Experience managing client relationships
  • Ability to confidently interact with Board and Executive level clients
  • Ability to prioritise multiple projects and engagements whilst meeting tight deadlines
  • Highly motivated individual who thrives in a fast-paced, high-pressure environment
  • Proven ability to manage own workload, and cope with the ‘peaks and troughs’ associated with professional services
  • Commercial acumen, with the ability to spot new opportunities and develop them
  • Entrepreneurial mind-set and ‘can do’ attitude

As you will have responsibility for building the pipeline by generating new leads and leveraging existing relationships to maximise opportunities for up/cross-selling, prior consulting experience would be advantageous.

When the opportunity arises, you may also be required to assist other teams and clients on a wider range of regulatory matters, so a willingness to develop your knowledge across the spectrum and collaborate on work outside of your main areas of expertise is expected.

Given the technical nature of the work we do, exceptional written and oral communication skills, and high attention-to-detail are paramount.

In return we offer:

  • The opportunity to work in an entrepreneurial, fast moving, stimulating environment
  • Strong career development support – mentoring, coaching, relevant training and development – to enable your progression
  • The opportunity to work closely with, and learn from, our global team of regulatory experts
  • A small informal company environment with minimal bureaucracy
  • A competitive salary, performance-related discretionary bonus, and flexible benefits package

Bovill actively supports flexible working and are introducing a hybrid working practice. We welcome applications from candidates who wish to work part-time, flexible start & finish or compressed hours.

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