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Eximius Group

CASS Oversight Officer

Eximius Finance
United Kingdom, London
Posted 6 days ago Hybrid Permanent £60000
L
Posted by
Lee Barnish
Recruiter
My client, a well know CFD Trading platform, are recruiting for a CASS Oversight Officer to join their London office. The Individual will have the 2 Broad Roles 1) CASS Oversight Officer 2) Compliance Officer The key role , however is CASS ---leading onto the Compliance Role ( once bedded in )

CASS Oversight Officer

  1. Reporting to the Head of Compliance and indirectly to the Individual with overall responsibility for CASS (CASS Oversight Manager) within the firm
  2. Assisting with the following CASS Oversight functions:
  • Monthly CASS Oversight Committee
    • Preparing the relevant papers
    • Taking the minutes
    • Preparing and following up on the Committee actions
  • CASS Breaches register
  •  CASS Calendar of events
  • Oversight of the CASS Controls / Control Monitoring
  • Preparing the annual Banking Review to include a) Due diligence b) Acknowledgement letters c) Diversification
  •  CASS Rule Mapping documentation
  •  CASS Resolution Plan
  • CASS training
  • CASS Roles and Responsibilities
  • Preparing the Reporting to the relevant Committees within the Firm
  • Preparing for and liaising (internally and externally) on the CASS annual audit

 

Compliance Officer

  1. Reporting to the Head of Compliance on the UK FCA Regulated Activity. With responsibilities for the following functions :
  • Maintaining and reporting on the FCA Complaints Register
  • Compliance monitoring Programme
  • Compliance control Framework
  • Compliance MI production and maintenance
  • Assisting with the preparation and running of the Monthly Compliance Committee
  • Ad hoc Compliance Projects

 

 

Experience/ Background

 

The following is required:

 

  1. Worked within a CASS Oversight Function or CASS Daily Production function  . 2 to 5 Years
  2. Understanding of the CASS Rules
  3. Compliance or Operational Risk or Operations background
  4. Educated to Degree Level
  5. Financial Services background. Preferably within the Retail Sector and the CFD Industry ( not essential )
Job ID  LB320974
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United Kingdom, London
HR & Recruitment
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