Lead Client Asset Compliance Analyst

3 weeks ago

London, Greater London, United Kingdom CMC Markets Full time

The Principal Client Money Compliance Specialist will be an integral part of the Client Asset Management team within the Finance Department. Reporting directly to the Head of the Client Asset Management team, this role includes overseeing the Client Asset Analysts and ensuring compliance with the Financial Conduct Authority (FCA) regulations.

This position plays a crucial role in a highly regulated environment, focusing on the protection of client assets, which is a fundamental principle of the FCA.

*** This position requires onsite presence in our London office, working five days a week. ***

KEY RESPONSIBILITIES

  • Support the Head of Client Asset Management in meeting the firm's regulatory obligations under FCA, CASS, and other relevant regulations.
  • 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 processes.
  • Help in the development and maintenance of client money policies.
  • Assist the Head of Client Asset Management in implementing regulatory changes related to client assets.
  • Act as the primary contact for client asset inquiries and procedural questions.
  • Ensure accurate documentation and tracking of incidents related to CASS.
  • Maintain an updated CASS resolution documentation.
  • Support annual external and internal CASS audits as necessary.
  • Manage the workload of Client Asset Analysts and provide coverage during absences.
  • Perform additional duties and training 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 products, with the ability to analyze and resolve complex issues under tight deadlines.
  • Proficient in operational cash management and reconciliations.
  • 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.
  • Ability to work both independently and collaboratively within a team.
  • Effective communication skills.

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