Client Assets Supervisor

2 weeks ago

London, Greater London, United Kingdom Financial Conduct Authority Full time
Are you interested in joining a team at the heart of developing Client Assets (CASS) supervisory strategies for the FCA?


The FCA is responsible for the supervision of c.3100 firms with CASS permissions, which collectively hold over £196 billion of client money and £16.3 trillion of custody assets.

CASS supervision aims to mitigate the risk of consumer harm as a result of firms having inadequate CASS arrangements, including the impact of any downturn faced by regulated firms in the UK.

The Role

We are recruiting for an ambitious and proactive individual to join our CASS Supervision team as a Senior Associate.

What are the key responsibilities?

  • Leading engagement with firms on the remediation of CASS issues, including regulatory breaches
  • Scoping and delivering assessments of firms' compliance with the CASS rules, including where firms are at risk of failure. This will include analysing data (including client assets reconciliations), engaging with and challenging senior management of firms to ensure they deliver any necessary remediation
  • Using judgement and sound analysis to develop and propose CASS supervisory strategies to identify and mitigate harm
  • Building and maintaining strong relationships with internal and key external stakeholders including the wider Specialist Directorate and FCA colleagues, regulated firms and auditors
  • Ensuring compliance with all internal systems, processes, and requirements, including internal reporting and MI, ensuring relevant service level agreements (SLAs) are met
  • Contributing to the continuous improvement of departmental processes by suggesting changes that result in more efficient use of resources and better outcomes
  • Continually enhancing your knowledge and skills, and sharing knowledge with other team members
  • A unique opportunity to develop specialism in client assets supervision and enhance your knowledge of firms' business models across different sectors
  • The chance to mitigate the risk of consumer harm as a result of firms having inadequate client assets arrangements, including the impacts of any economic downturn faced by regulated firms in the UK
  • Working with and influencing a range of key/senior stakeholders and industry professionals, both within and outside the FCA
  • Working in a fast paced, supportive, and inclusive team environment
What skills/experience are we looking for?

Minimum

  • Experience of the FCA's approach to CASS supervision, including the use of regulatory tools
  • Experience of analysing technical/complex information (e.g. client asset reconciliations), making judgements and presenting key issues and proposing recommendations
  • Experience of building and managing relationships with key internal and external stakeholders
Essential

  • Practical understanding and experience of the UK client asset and/or safeguarding regime
  • Strong judgement to identify and prioritise risks, and proposing suitable action/mitigation plans
  • Excellent prioritisation and organisation skills, including managing a number of competing pieces of work at once, ensuring delivery against deadlines and quality is maintained
  • Ability to work collaboratively as part of a team
Desirable

  • Detailed knowledge of the CASS handbook and/or safeguarding regime
  • Experience of CASS firms' business models e.g., custody banks, clearing brokers, investment firms, insurance intermediaries, peer to peer platforms
The FCA's Values & Diversity


Our ambition is to create a diverse and inclusive workplace that reflects the society we serve, helping us to be a better regulator.

Useful Information

  • The job family for this role is Senior Associate
  • Regulatory
  • Applications for this role close on 12th May 202
  • The FCA has a national role and is committed to a national footprint. This role can be based in London, Leeds or Edinburgh
  • The FCA has London and National Pay ranges to reflect regional differences.

The salary for this role will be:

  • London up to £65k/ National up to £58k


The FCA supports hybrid working and you will be expected to work 40% of your time over a month, in our office.

We will consider other flexible arrangements, for example part time working, and you can discuss this with the recruiter.

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