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Lead Client Asset Compliance Analyst

2 months ago

London, Greater London, United Kingdom CMC Markets Full time

The Principal Client Money 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 stringent regulatory framework surrounding client assets, ensuring that we uphold one of the key principles set forth by the Financial Conduct Authority (FCA) - safeguarding clients' assets effectively.

*** This role requires onsite presence at our London office, necessitating a full-time commitment of five days a week. ***

KEY RESPONSIBILITIES

  • Support the Head of CAM in ensuring adherence to obligations under FCA regulations, CASS, and similar international regulatory requirements.
  • Assist in the daily management of client assets across the organization.
  • Oversee daily reconciliations of client assets, including custody assets and client funds, for both FCA and international regulated entities.
  • Supervise the activities of Client Asset Analysts.
  • Provide mentorship and support to junior team members regarding CASS and operational procedures.
  • Contribute to the development and maintenance of client money policies.
  • Assist the Head of CAM in implementing regulatory changes affecting client assets.
  • 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 documentation pack.
  • Support annual external CASS audits and internal reviews as necessary.
  • Manage 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 is beneficial.
  • Proficient in IT, especially MS Office (Advanced Excel and Word).
  • Exceptional attention to detail.
  • Able to work autonomously as well as collaboratively within a team.
  • Effective communication skills.