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CASS Compliance Officer
2 months ago
The Senior Client Asset Management Specialist 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 Client Asset Analysts in the team.
This is a critical control function in the heavily regulated CASS environment, ensuring the delivery of one of the FCA's key principles - arranging adequate protection for clients' assets.
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 and support to junior team members on CASS and related operational matters.
- Assist in generating and maintaining client money policies.
- Support 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.
- 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.
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.
