Client Assets and Money Oversight Manager
3 weeks ago
COMPANY PROFILE:
Compliance Professionals is a leading entity in the financial services sector, currently experiencing a significant phase of expansion.
KEY RESPONSIBILITIES:
- Oversee the Client Money Team on a daily basis to effectively fulfill all client money duties and obligations.
- Collaborate closely with the Group CFO to establish key priorities for Client Money and Assets oversight while ensuring transparency and effective communication.
- Support the training and professional development of all personnel responsible for Client Money management.
- Manage the assessment, enhancement, and revision of current financial systems, processes, and procedures.
- Identify deficiencies in Client Money and Assets processes and ensure appropriate remediation measures are taken.
- Stay informed about forthcoming regulatory changes and ensure their implementation as necessary.
- Provide expert guidance on compliance with CASS regulations.
- Oversee all client money audits for regulated entities.
- Address inquiries from auditors and regulatory bodies.
- Act as the primary contact for audit partners.
- Ensure the timely submission of the Client Money and Assets Report and other related documentation.
- Work closely with the oversight of daily Client Money calculations, including final checks and approvals as needed.
- Conduct final reviews of minutes and management information before distribution to Boards and Committees.
- Engage in any additional projects or tasks as assigned by Senior Executive Management.
QUALIFICATIONS:
- Demonstrated knowledge and experience in a CASS-related role within a financial services organization.
- Strong interpersonal skills with the ability to collaborate with staff at all levels across the organization.
- Capacity to perform under pressure and meet both personal and departmental objectives within tight deadlines.
- Extensive understanding of CASS governance, particularly CASS 6 & 7.
- Experience managing relationships with CMA auditors.
- High level of numeracy and exceptional written and verbal communication skills.
- Proficient in MS Office, particularly advanced Excel skills, including the use of lookups and pivot tables.
This position offers an opportunity to contribute significantly to the oversight of client money and assets within a dynamic and growing organization.
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