Regulatory Oversight

7 months ago

Horsham, United Kingdom Schroders Full time

Who we're looking for

We're looking for someone with extensive knowledge of the rules and regulations governing CASS Client Money and Assets and financial crime prevention regulations. That means not being afraid to speak up and tackle problems when they come up.

We need someone who's flexible, creative and curious enough to take on a challenge, rather than tick off set tasks on a to-do list.

It means you'll get the chance to work with different areas of the business, see the big picture, and see your role evolve as the business does.

About Schroders

We're a global investment manager. We help institutions, intermediaries and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.

We have over 5,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes. What doesn't change is our commitment to helping our clients, and society, prosper.

The base

You'll be based at our Broadlands Business Campus near Horsham in West Sussex. That's our operations hub - home to our client servicing, product reporting and operational oversight for Europe, the Middle East and Africa.

It has the same high standards and international reputation as our HQ in the City of London, without being in the city: a big, countryside campus (and no commute on the Tube) means life will feel a little different.

What you'll do
- Assist with the management of the relationship with transfer agents, always looking for ways to improve.
- Oversee the daily monitoring of client money operations undertaken by our transfer agent and when necessary, challenge exceptions to ensure appropriate action and remediation is taken where issues, breaches or potential breaches have been identified
- Ensure the Client Money and Asset Return (CMAR) are accurate and completed on a timely basis and comply with any new rules or guidance
- Ensure the firm's CASS Manual and Resolution Pack remains complete and fit for purpose.
- To have a full understanding of CASS rules and ensure that the firm's policy and procedures, systems, controls and oversight enable compliance with the CASS rules
- Review all CASS and COBS breaches extracting themes and trends to be noted. Escalation of breaches to the SMF3, Compliance and Regulator as appropriate.
- Undertake thematic reviews at our service providers to ensure that their processes in relation to CASS comply with the CASS rules and adhere to agreed service levels
- Assist in the co-ordination of the annual CASS assurance review and audit. Monitor any actions raised to completion
- Maintenance of controls over the opening, closing and amendments to bank accounts and complete an annual review of Acknowledgement letters and due diligence of the banks where those accounts are held
- To have a full understanding of Financial Crime Prevention oversight and requirements in relation to SUTL and ensure that the firm's policy and procedures, systems, controls and oversight enable compliance with Financial Crime Prevention requirements
- Oversee all aspect of Financial Crime Prevention operations undertaken by our transfer agents and when necessary, challenge exceptions to ensure appropriate action and remediation is taken where issues, breaches or potential breaches have been identified
- Ensure accurate regulatory AEOI reporting is submitted in line with HMRC deadlines.
- Responsible for the enhancement and refinement of existing procedures/practices and processes for CASS, Financial Crime Prevention and AEOI reporting.
- Act as secretary to the SUTL & SIM CASS Governance Committee and provide management information and reports for the Board.
- Attend Wealth Management monthly CASS forum and report on reconciliations, issues and breaches.
- Act as escalation point for Wealth Management CASS queries.
- Ensure adherence to the firm's group Data Protection policies
- Develop an ongoing training program for relevant staff on CASS and Financial Crime prevention
- To build and develop good working relationships between the team and its internal/external clients and suppliers

The knowledge, experience and qualifications you need
- Knowledge of CASS Handbook and applicable CASS Rules
- Knowledge of Financial Crime Prevention requirements
- Knowledge of AEOI (FATCA/CRS) reporting
- Knowledge of Data Protection and GDPR policies
- A strong working knowledge of transfer agency platforms and processes
- Experience of RegData and submission of CMAR
- Numerical skills and the ability to monitor and produce high quality MI and perform root cause analysis
- Excellent written and spoken English

What you'll be like
- Good at analysing and solving problems
- Able to prioritise and manage activities for the benefit of the business
- A really good communicator
- Good at working in a team, and with other teams
- A real attention to detail
- Flexible: how we work in this new hub will evolve, so you'll need to adapt
- Able to wo

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