CASS Compliance Specialist

Lead CASS Audit SpecialistAJ Bell Management Limited is seeking a highly skilled Lead CASS Audit Specialist to join its team. The successful candidate will have a deep understanding of CASS regulations and experience managing external audits from planning through to closure.The key responsibilities of this role include:Developing and implementing effective...

Job Description At BNY, our culture empowers you to grow and succeed.As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets.Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that...

At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit...

At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system we touch nearly 20% of the world's investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit...

CASS Audit DirectorAJ Bell Management Limited is a leading investment platform business that offers a range of solutions to individuals and businesses. We are currently seeking a highly skilled CASS Audit Director to join our team and lead our CASS audit function.As a CASS Audit Director, you will be responsible for developing and implementing a robust CASS...

Job DescriptionWe are seeking an experienced Compliance professional to join our UK Compliance Team in Manchester as a CASS Director. This is an exciting opportunity to work in a dynamic environment, collaborating with business stakeholders to drive regulatory compliance. Key responsibilities include providing guidance on regulatory risk, developing...

AJ Bell Management Limited is a dynamic company that offers a range of benefits to its employees. As a CASS Governance Specialist, you will be part of a team that is dedicated to delivering high-quality results. The company has a hybrid working model, which means that you will spend a minimum of 50% of your working time per month in the office. This allows...

CASS Audit Lead Job DescriptionWe are seeking a highly skilled CASS Audit Lead to join our team at AJ Bell Management Limited. The successful candidate will be responsible for leading and coordinating external CASS audits, ensuring compliance with the audit plan, and providing effective management information.Key Responsibilities:Manage external audits from...

About the RoleAJ Bell Management Limited is seeking a highly skilled CASS Audit Lead to join their team. This role is responsible for leading and coordinating external CASS audits, ensuring audits are delivered in accordance with the audit plan, coordinating audit activities, providing appropriate management information, and tracking audit actions through to...

About BNYAt BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world's financial system, we touch nearly 20% of the world's investible assets.We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and...

Job OverviewWe are seeking a highly skilled CASS Director to join our UK Compliance Team in Manchester. As a key member of the team, you will be responsible for providing oversight and challenge at CASS Forums, liaising with business and senior management on regulatory risk, and representing compliance on regulatory change projects.About the RoleRepresenting...

AJ Bell Management Limited is seeking a Policy and Governance Specialist to join our team.About the RoleThe Policy and Governance Specialist will be responsible for assisting the Senior Compliance Manager in the enhancement, implementation, and maintenance of the Product Governance framework in line with FCA regulation.Key ResponsibilitiesProvide compliance...

At BNY Mellon, we're seeking a Compliance Risk Manager to join our UK Compliance Team in Manchester. This hybrid role involves collaborating with the Business to understand and advise on Regulatory Risk. Key responsibilities include:Representing Compliance at CASS Forums to provide oversight and challenge.Liaising with and overseeing the business and Senior...

{"CASS Audit Lead Role OverviewAs part of the Asset Audit Team, the CASS Audit Lead will be responsible for leading and coordinating external CASS audits. The role involves ensuring audits are delivered in accordance with the audit plan, coordinating audit activities, providing appropriate management information, and tracking audit actions through to...

Job Description We're currently looking to recruit a Compliance Policy Manager to join the team. The Compliance policy team purpose is to leverage our relationships and expertise to provide advice, guidance, support and challenge to the business, in order to facilitate safe business growth and help our customers achieve their objectives. Reporting to...

AJ Bell Management Limited is looking for a Policy and Compliance Manager to join their team. In this role, you will be responsible for working closely with the Senior Compliance Manager to embed Consumer Duty across the business, review and interpret regulation and regulatory developments, and monitor external developments and industry best practices.Key...

Job SummaryWe are looking for a seasoned professional to fill the position of CASS Director within our UK Compliance Team in Manchester. This individual will be responsible for collaborating with the business to deeply understand and advise upon our regulatory risk. The ideal candidate will have a degree education or equivalent professional experience in a...

A forward-thinking Law Firm, AJ FOX COMPLIANCE, is seeking a seasoned Senior Risk & Compliance Lawyer to join their Risk & Compliance team in Manchester.The ideal candidate has background experience in law firm regulation, complaints handling or commercial contracts.Some key responsibilities include:Supporting colleagues in claims handling in adherence to...

A firm of Chartered Financial Planners are undergoing a period of business growth and are now looking for a qualified Pension Transfer Specialist to give advice on Defined Benefit Pensions.Applicants for the role should be diploma qualified preferably with AF7, AF3, G60 or equivalent and must have experience in advising on Pension transfers.The successful...

AJ Bell Management Limited is seeking a skilled Compliance Policy Lead to join their team. This role involves working closely with the Senior Compliance Manager to provide input into product governance, engagement with product teams, regulatory projects, operational change, and oversight of financial promotions.Key ResponsibilitiesEmbedding Consumer Duty...