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Client Assets Oversight Vice President
4 months ago
If you are intellectually curious, have an eye for detail and a passion for compliance - then you may be the perfect fit for our team
As a Client Assets Oversight Vice President in CASS (Client Asset Sourcebook)Oversight team, you will help us to shape our strategy and maintain compliance with the FCA’s (Financial Conduct Authority) Client Asset (“CASS”).You also will be able to learn and practice the BaFin Safeguarding Client Asset (SGCA) Regulations.
In this role, you will also leverage your deep understanding of CASS regulations to make informed decisions as well as delivery of best practices.
Job responsibilities
- Provides support to the certified individual responsible for CASS operational oversight, and to other EMEA (Europe, Middle East, and Africa) custody regulation oversight functions
- Manages the Edinburgh CASS Oversight Team
- Maintains and supports the ongoing development of the Client Assets Risk Framework
- Coordinates internal and external audits covering Client Asset processes (including the annual CASS audit)
- Reviews and escalates regulatory breaches relating to Client Assets, drives corrective and preventative actions, and works with stakeholders to ensure successful remediation
- Reviews and sign-off on the monthly Client Money and Asset Return (“CMAR”)
- Prepares and delivers MI (Management Information) on the Client Assets control framework to senior stakeholders
- Designs and coordinates CASS training to all relevant Business, Technology, and Operations staff
- Reviews New Business Initiatives to assess potential CASS impact
- Collaborates across teams in Edinburgh, London, Frankfurt, Geneva and Bangalore and works with key stakeholders including Operations, Compliance, Controls, Projects, and Governance teams
Required qualifications, capabilities, and skills
- Knowledge of MiFID (Markets in Financial Instruments Directive) II requirements relating to the safeguarding of financial instruments and funds
- Experience with the FRC’s (Financial Reporting Council) Client Asset Assurance Standard
- Self-motivated and ability to work independently
- Focused on execution skills and the ability to deliver results even through challenges
- Ability to critically review and challenge interpretation and application of scenarios relating to trade reporting rules
- Flexibility to work under pressure to meet changing work requirements
- Ability to work with large data sets to pull trends and insights and provide regular reporting to senior stakeholders
- Ability to articulate complex concepts clearly to varied audiences
- Inclusive leadership skills with the ability to collaborate across various groups and regions
Preferred qualifications, capabilities, and skills
- People management experience
- Ability to create a vision and actionable roadmap with a focus on ongoing innovation
