Cass & Operational Risk Reporting - Wealth

United Kingdom Operations Investment BankJob Reference #BRCity LondonJob Type Full TimeYour role Are you an expert when it comes to the UK CASS rules? Are you a sharp evaluator of risk? Can you balance commercial objectives with legal, regulatory and ethical considerations? We're looking for a CASS Specialist to:conduct targeted quality assurance reviews of...

Job DescriptionLeading Wealth Manager seeking an Operational Risk Analyst to join their 1LOD team in London, initially on an 18 month fixed-term contract.Key ResponsibilitiesSupport the day to day activities of the client-facing teams in terms of identifying and reporting operating events, champion the embedding of the Operational Risk Framework and a...

Responsibilities include but are not limited to: › Supporting the Senior CASS Officer with External and Internal Audits, Compliance Reviews and any other reviews of the SIEL CASS infrastructure. o Assist with the Data gathering and preparation for internal and external audits. Monitor, track and review requested documents and evidence collaborate in...

RBC Brewin Dolphin is one of the UK's leading independent providers of discretionary wealth management. We offer award-winning personalised wealth management services that meet the varied needs of over 100,000 account holders, including individuals, charities, and pension funds. We specialise in helping clients protect and grow their wealth by creating...

RBC Brewin Dolphin is one of the UK's leading independent providers of discretionary wealth management. We offer award-winning personalised wealth management services that meet the varied needs of over 100,000 account holders, including individuals, charities, and pension funds. We specialise in helping clients protect and grow their wealth by creating...

About this role:Wells Fargo is seeking a CASS Assurance specialist.In this role, you will:Support projects, take responsibility and produce high-level working documents.Support Compliance with responses to consultations and implement the necessary changes to CASS policies, procedures, process and systems.Support in the delivery of required regulatory changes...

At SEI we value our employees and believe in driving growth through change. Part of building brave futures is making a concerted effort to develop and challenge our employees to achieve their goals through internal job mobility. SEI is seeking to hire a CASS Oversight Officer in the Cass Oversight team to support the CASS Governance Infrastructure and...

At SEI we value our employees and believe in driving growth through change. Part of building brave futures is making a concerted effort to develop and challenge our employees to achieve their goals through internal job mobility. SEI is seeking to hire a CASS Oversight Officer in the Cass Oversight team to support the CASS Governance Infrastructure and...

About Columbia Threadneedle InvestmentsYou'll find the promise we make to our clients is the same one we make to our employees: Your success is our priority.Here, you'll find growth and career opportunities across all our businesses. We're intentionally built to help you succeed. Our reach is expansive with a global team of 2,000 people working together. Our...

THE COMPANY:Our client is a prestigious private wealth firm based in the West End. They are looking for a CASS Compliance Officer to join the team on a 6-month FTC basis.THE RESPONSIBILITIES: Operational adherence to the CASS rules contained within the FCA handbook, update of procedures, breaches tracking, CASS advice to the business Overseeing the annual...

About us The Titan Group provides a broad range of services across the whole wealth value chain – from financial planning, investment management through to platform, trading, settlement and custody services. Its strategy is to be able to offer modular, incremental services to its clients allowing them to adjust their business models as and when they...

Who we areIn 2021, Seedrs joined forces with Republic to accelerate their shared mission to democratise access to investing, capital raising, and community building. Seedrs operates the European arm of Republic's global marketplace.Together, we operate a global marketplace that enables anyone to buy and trade traditional and digital securities and also as a...

At Plum, we're on a mission to maximise wealth for all. We're making saving money effortless and turning investing into something everyone can doOur journey began back in 2017, when we became one of the first to use artificial intelligence and automation to simplify personal finance. Fast forward to today, and we've already helped people save £2 billion...

International Bank based in London, are looking to recruit a new Head of Business Risk and Control Management. Reporting into the Chief Operating Officer, the Head of Business Risk and Control Management is accountable for driving the effective governance and management of non-financial risks in the 1LOD across all aspects of the bank.Risk & Control...

Senior CASS Assurance SpecialistLondon At Freetrade, we believe investing should be accessible to everyone. It's one of the best ways to grow your savings but, for many, it seems complicated, expensive, and out of reach. We're here to change that. We're a technology company that brings simple investing to everyone. We've built a beautiful app to buy and sell...

Job DescriptionWe are seeking a CASS SME/Compliance & Oversight Consultant for an initial 3-month contract with a leading Investment Manager/Services organization based in London. As the subject matter expert, you will oversee, manage, and ensure compliance with CASS regulations across all business functions within the firm's global operating model....

At Plum , we're on a mission to maximise wealth for all. We're making saving money effortless and turning investing into something everyone can do Our journey began back in 2017, when we became one of the first to use artificial intelligence and automation to simplify personal finance. Fast forward to today, and we've already helped people save £2...

THE COMPANY: Our client is a leading trading platform that is ambitiously expanding their Business. They are looking to hire a CASS Controls Officer on a permanent basis. THE RESPONSIBILITIES: Support the design and development of the UK entity CASS control framework Assist in the development and maintenance of a strong culture of controls Work with...

The Titan Group provides a broad range of services across the whole wealth value chain – from financial planning, investment management through to platform, trading, settlement and custody services. Its strategy is to be able to offer modular, incremental services to its clients allowing them to adjust their business models as and when they choose to. As...

CASS Compliance ManagerPermanent roleLondon based - hybridIf you're looking for a career that will unlock new opportunities, join Brookwood Recruitment and experience the possibilities. We have an exciting role for a Senior Client Assets Compliance Manager (CASS) to join our client's established Markets & Securities Services Compliance team in London. This...