Safeguarding and Compliance Manager

3 weeks ago

London, Greater London, United Kingdom Empirical Search Limited Full time
Job Title: Safeguarding & CASS Manager/Senior Manager

Empirical Search Limited is seeking a highly skilled and experienced Safeguarding & CASS Manager/Senior Manager to join our team. The successful candidate will be responsible for working on the buildout and deepening of Safeguarding capabilities globally.

Key Responsibilities:
  • Contribute to the design and implementation of a Safeguarding Policy Framework across multiple regulated entities.
  • Develop a regulatory approach across products to provide analysis and enable operational flow of fund models, providing recommendations to meet safeguarding requirements for existing products and new business requirements.
  • Oversight of Safeguarding compliance and developing enhancements to manage and remediate breaches, alongside monitoring to satisfy regulatory requirements.
  • Manage escalations, management information, and project updates to Senior Management and committees.
  • Manage and lead safeguarding-related audits working directly with audit firms and regulators, whilst coordinating internally across various departments.
  • Manage projects to develop and enhance safeguarding-related processes and controls with treasury teams to ensure compliance with related policies.
  • Develop and document Safeguarding Policies to support the framework, including delivery of training materials.
  • Involvement in wider strategic global expansion and regulatory initiatives within the treasury space.
Requirements:
  • 7+ years of experience in treasury, finance, regulatory, or risk-related fields.
  • Strong understanding of protection/custodianship of customer assets and related regulatory frameworks (e.g. EMI/PI Safeguarding, CASS or banking).
  • Strong communication and influencing skills with an ability to build and leverage cross-functional relationships internally and externally (e.g. audit firms and regulators).
  • Good understanding of treasury concepts within financial services firms, such as reconciliations, cash management, and FX, including associated risks and controls.
  • Experience of working through change and implementing new cross-functional processes.
  • Attention to detail and proactivity crucial.
  • Experience of line management and track record of supporting career development within teams.
  • Forward-thinking, adaptable, and thrives in a fast-paced environment.

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