Current jobs related to CASS Compliance Specialist - London, Greater London - CMC Markets
-
CASS Specialist
4 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Professionals is seeking a highly skilled CASS Specialist to join their team. The ideal candidate will have a minimum of 3 years' experience in FCA CASS regulation and a proven track record of streamlining complex processes and implementing robust control environments. Responsibilities: * Ensure the business is fully compliant with FCA CASS...
-
CASS Specialist
4 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompliance Professionals is seeking a highly skilled CASS Specialist to join their team. The ideal candidate will have a minimum of 3 years' experience in FCA CASS regulation and a proven track record of streamlining complex processes and implementing robust control environments. Responsibilities: * Ensure the business is fully compliant with FCA CASS...
-
CASS Specialist
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeAbout the Role:We are seeking a highly skilled CASS Specialist to join our Compliance Professionals team. As a key member of our team, you will be responsible for ensuring that our business is fully compliant with FCA CASS regulations.Key Responsibilities:Ensure compliance with FCA CASS regulations and drive process improvements with required controls.Act as...
-
CASS Specialist
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeAbout the Role:We are seeking a highly skilled CASS Specialist to join our Compliance Professionals team. As a key member of our team, you will be responsible for ensuring that our business is fully compliant with FCA CASS regulations.Key Responsibilities:Ensure compliance with FCA CASS regulations and drive process improvements with required controls.Act as...
-
CASS Operations Specialist
6 hours ago
London, Greater London, United Kingdom JCR Talent ➡ Your Expert Partner for CASS & Compliance Recruitment Full timeCASS Operations SpecialistJCR Talent is seeking a highly skilled CASS Operations Specialist to join our team. As a key member of our CASS operations team, you will be responsible for performing daily and monthly client money reconciliations, client asset reconciliations, and supporting root cause analysis on CASS breaches.Key Responsibilities:Perform daily...
-
CASS Operations Specialist
5 days ago
London, Greater London, United Kingdom JCR Talent ➡ Your Expert Partner for CASS & Compliance Recruitment Full timeAt JCR Talent, we're seeking a skilled CASS Reconciliations Associate to join our team.This role is ideal for individuals with experience in CASS, Finance, Compliance, Reconciliations, or Operations in the Financial Services industry.Key Responsibilities:Perform daily and monthly client money reconciliationsConduct client asset reconciliationsCollaborate...
-
CASS Specialist
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompany OverviewOur client is a global financial technology business focusing on investments, brokerage, and asset management services.Job ResponsibilitiesEnsure the business is fully compliant with FCA CASS regulations.Manage CASS-related regulatory reporting.Drive process improvements with required controls.Act as the Client Money Assets subject matter...
-
CASS Specialist
1 month ago
London, Greater London, United Kingdom Compliance Professionals Full timeCompany OverviewOur client is a global financial technology business focusing on investments, brokerage, and asset management services.Job ResponsibilitiesEnsure the business is fully compliant with FCA CASS regulations.Manage CASS-related regulatory reporting.Drive process improvements with required controls.Act as the Client Money Assets subject matter...
-
CASS Assurance Specialist
1 month ago
London, Greater London, United Kingdom WELLS FARGO BANK Full timeAbout this RoleWe are seeking a highly skilled CASS Assurance Specialist to join our CIB operations team. As a key member of our team, you will play a crucial role in supporting projects, taking ownership, and creating high-quality working documents. Your responsibilities will include ensuring compliance by responding to consultations and implementing...
-
CASS Assurance Specialist
1 month ago
London, Greater London, United Kingdom WELLS FARGO BANK Full timeAbout this RoleWe are seeking a highly skilled CASS Assurance Specialist to join our CIB operations team. As a key member of our team, you will play a crucial role in supporting projects, taking ownership, and creating high-quality working documents. Your responsibilities will include ensuring compliance by responding to consultations and implementing...
-
CASS Assurance Specialist
1 month ago
London, Greater London, United Kingdom WELLS FARGO BANK Full timeAbout this RoleWe are seeking a highly skilled CASS Assurance Specialist to join our CIB operations team. As a key member of our team, you will play a crucial role in supporting projects, taking ownership, and creating high-quality working documents. Your responsibilities will include ensuring compliance by responding to consultations and implementing...
-
CASS Assurance Specialist
1 month ago
London, Greater London, United Kingdom WELLS FARGO BANK Full timeAbout this RoleWe are seeking a highly skilled CASS Assurance Specialist to join our CIB operations team. As a key member of our team, you will play a crucial role in supporting projects, taking ownership, and creating high-quality working documents. Your responsibilities will include ensuring compliance by responding to consultations and implementing...
-
Compliance Consultant
1 week ago
London, Greater London, United Kingdom Danos Group Full timeJob Title: CASS ManagerJob Description:We are seeking an experienced Compliance Consultant with a strong focus on the FCA client assets regime (CASS) to join our team at Danos Group. As a CASS Manager, you will be responsible for delivering solutions-driven services to clients across a broad range of financial services sectors, including asset managers,...
-
CASS Assurance Specialist
1 week ago
London, Greater London, United Kingdom WELLS FARGO BANK Full timeAbout this role:Wells Fargo is seeking a skilled professional to provide operational and customer support for institutional trades. As a CASS Assurance Specialist, you will play a crucial role in ensuring compliance with CASS rules and regulations. Your responsibilities will include assisting with client account onboarding, cash payments, customer service,...
-
CASS Consultant
2 weeks ago
London, Greater London, United Kingdom Danos Group Full timeExciting Opportunity for a CASS ManagerWe are seeking an experienced CASS Manager to join our team at Danos Group. As a boutique consultancy, we are undergoing significant expansion and require a strong compliance consultant with in-depth knowledge of the FCA client assets regime (CASS).The ideal candidate will have consultancy experience in a CASS-focused...
-
CASS Reconciliations Specialist
1 week ago
London, Greater London, United Kingdom Harrington Starr Full timeJob DescriptionCASS Reconciliations SpecialistWe are working with a leading Asset Management firm in the financial sector who are searching for a Reconciliations Administrator with experience of CASS reconciliation.The client is looking for a candidate with CASS 7 alongside experience within an Asset Management firm. The role will require the ability to face...
-
Product Regulatory Compliance Specialist
4 weeks ago
London, Greater London, United Kingdom JCR Talent ➡ Your Expert Partner for CASS & Compliance Recruitment? Full timeJob OpportunityJCR Talent is delighted to be partnering with a leading Retail Investments firm as they seek a Regulatory Compliance Manager.This is a generalist compliance role, with Financial Crime sitting within another team.Collaborate with the business to develop innovative investing products that meet customer needs.Monitor investment products and...
-
Product Regulatory Compliance Specialist
4 weeks ago
London, Greater London, United Kingdom JCR Talent ➡ Your Expert Partner for CASS & Compliance Recruitment? Full timeJob OpportunityJCR Talent is delighted to be partnering with a leading Retail Investments firm as they seek a Regulatory Compliance Manager.This is a generalist compliance role, with Financial Crime sitting within another team.Collaborate with the business to develop innovative investing products that meet customer needs.Monitor investment products and...
-
CASS Governance Specialist
4 weeks ago
London, Greater London, United Kingdom JJ SEARCH LIMITED Full timeCASS Manager Job DescriptionOur client, a reputable boutique Investment Management Company, is seeking an experienced CASS Manager to support the Head of CASS in ensuring the firm meets all relevant CASS requirements and responsibilities.Key Responsibilities:Manage the maintenance of CASS governance documents, Rule Mapping, Risk register, and Control...
-
CASS Governance Specialist
4 weeks ago
London, Greater London, United Kingdom JJ SEARCH LIMITED Full timeCASS Manager Job DescriptionOur client, a reputable boutique Investment Management Company, is seeking an experienced CASS Manager to support the Head of CASS in ensuring the firm meets all relevant CASS requirements and responsibilities.Key Responsibilities:Manage the maintenance of CASS governance documents, Rule Mapping, Risk register, and Control...
CASS Compliance Specialist
2 months ago
About the Role
The Senior CASS Analyst will be a key member of the Client Asset Management team within the Finance Department at CMC Markets. This role reports to the Head of the CAM team and will also have responsibility for managing the workload of the Client Asset Analysts in the team.
Key Responsibilities
- To assist the Head of CAM in ensuring the firm is in compliance with its obligations under the Financial Conduct Authority (FCA), CASS, and similar regulations imposed by other regulators where we have overseas subsidiaries.
- Assist in the day-to-day management of client assets throughout the group.
- Oversee the daily client asset reconciliations, including custody asset and client money for the FCA and equivalent for overseas regulated firms where CMC UK performs the reconciliation as a service provider.
- Oversee the work of two Client Asset Analysts.
- Provide guidance to and support for junior team members on CASS and related operational matters.
- Assist in generating and maintaining client money policies.
- Provide support to the Head of CAM in enabling client asset regulatory change across CMC UK and the wider Group.
- Deal with client asset queries and be the primary contact on procedural queries.
- Ensure the accurate recording and identification of incidents related to CASS, as and when they arise.
- Maintain an up-to-date CASS resolution pack.
- Assist in the annual external CASS Audits and internal audits as required.
- Manage the workload of Client Asset Analysts in the CAM team and provide cover on absences.
- Undertake such other duties, training, and/or hours of work as may be reasonably required, and which are consistent with the general level of responsibility of this role.
Requirements
- Strong knowledge of CASS rules, specifically CASS 6 and 7.
- Good working knowledge of financial markets and related products, ability to identify, analyze, and resolve complex issues working to strict deadlines.
- Demonstrate a good working knowledge of operational cash management and reconciliations.
- Experience of incident management beneficial.
- Experience of being audited or auditing beneficial.
- IT competent, particularly MS Office (Advanced Excel and Word).
- Strong attention to detail.
- Ability to work independently and within a team environment.
- Confident communicator.
