CASS Compliance Expert

6 days ago

London, Greater London, United Kingdom CMC Markets Full time
Job Summary

We are seeking a highly skilled Senior Client Asset Management Specialist to join our Client Asset Management Team within the Finance Department at CMC Markets. The successful candidate will be responsible for ensuring the firm's compliance with its obligations under the Financial Conduct Authority (FCA), CASS, and similar regulations imposed by other regulators.

Key Responsibilities
  • Assist the Head of Client Asset Management in ensuring the firm's compliance with FCA, CASS, and similar regulations.
  • Oversee the day-to-day management of client assets throughout the group.
  • Manage the reconciliation of client assets, including custody assets and client money, for the FCA and equivalent for overseas regulated firms.
  • Oversee the work of two Client Asset Analysts and provide guidance and support on CASS and related operational matters.
  • Assist in generating and maintaining client money policies and provide support to the Head of Client Asset Management in enabling client asset regulatory change across CMC Markets and the wider Group.
  • Deal with client asset queries and be the primary contact for 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 Client Asset Management team and provide cover on absences.
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.
What We Offer

CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, color, nationality, ethnic or national origin, religion or belief, disability, or age.

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