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Lead Client Asset Compliance Analyst

2 months ago

London, Greater London, United Kingdom CMC Markets Full time

The Lead Client Asset Compliance Analyst will be an integral part of the Client Asset Management Team within the Finance Department. Reporting directly to the Head of the CAM team, this role will also involve overseeing the responsibilities of the Client Asset Analysts.

This position is crucial in maintaining compliance within the highly regulated environment of client asset management, ensuring that we uphold one of the key principles set forth by the regulatory authorities - safeguarding clients' assets effectively.

*** Please note that this role requires onsite presence in our London office, with a commitment to work five days a week. ***

PRIMARY RESPONSIBILITIES

  • Support the Head of CAM in ensuring adherence to the obligations outlined by the Financial Conduct Authority (FCA), CASS, and other relevant regulations applicable to our international subsidiaries.
  • Assist in the daily oversight of client assets across the organization.
  • Supervise daily reconciliations of client assets, including custody assets and client funds for the FCA and equivalent overseas regulations.
  • Manage the activities of two Client Asset Analysts.
  • Provide mentorship and assistance to junior team members regarding CASS and associated operational issues.
  • Contribute to the development and maintenance of client money policies.
  • Support the Head of CAM in implementing regulatory changes related to client assets across the organization.
  • Act as the primary contact for client asset inquiries and procedural questions.
  • Ensure accurate documentation and tracking of incidents related to CASS compliance.
  • Maintain an updated CASS resolution pack.
  • Assist with annual external CASS audits and internal audits as necessary.
  • Oversee the workload of Client Asset Analysts and provide coverage during absences.
  • Perform additional duties, training, and/or hours of work as required, consistent with the responsibilities of this role.

ESSENTIAL SKILLS AND EXPERIENCE

  • In-depth knowledge of CASS regulations, particularly CASS 6 and 7.
  • Strong understanding of financial markets and related products, with the ability to analyze and resolve complex issues under tight deadlines.
  • Proficient in operational cash management and reconciliation processes.
  • Experience in incident management is advantageous.
  • Familiarity with auditing processes, either as an auditor or an auditee, is beneficial.
  • Proficient in IT, especially MS Office (Advanced Excel and Word).
  • Exceptional attention to detail.
  • Ability to work autonomously as well as collaboratively within a team.
  • Effective communication skills.