Safeguarding Compliance Specialist

4 days ago

London, Greater London, United Kingdom GC Partners Full time

About GC Partners:

We are a specialist financial exchange company, committed to delivering efficient payment solutions through best-in-class service and market-leading technology.

As an employee ownership trust, our employees act as owners and partners in the business, working together to achieve a common goal: putting our clients at the heart of everything we do.

About our Safeguarding Compliance Specialist:

As part of our Risk team, you will work closely with the 1st, 2nd, and 3rd lines of defence to ensure that Safeguarding/CASS risks are properly managed, monitored, and controlled.

You will develop and implement Safeguarding risk mitigation strategies and plans, providing support and guidance on Safeguarding risk management matters, including training and education.

Responsibilities:

  • Participate in the development and implementation of risk management frameworks for Safeguarding compliance specifically and CASS matters when applicable.
  • Develop and implement Safeguarding-related policies, procedures, and reporting.
  • Conduct risk assessments and reviews of Safeguarding policies and procedures, identifying control gaps in the organization's Safeguarding risk management framework.
  • Analyse Safeguarding risk data to identify trends and potential areas of concern.
  • Monitor and report on Safeguarding risk exposure and incidents, ensuring compliance with internal policies and regulatory requirements.

Main Responsibilities:

  • Challenging and approving critical daily Safeguarding and CASS Reconciliations.
  • Reviewing movements across the Safeguarding calculation to ensure sufficient funds are covering the firm's Safeguarding obligations.
  • Approval and submission of monthly CMAR and other regulatory returns as relevant.
  • Maintaining the Safeguarding & CASS Applicability and Control matrix.
  • Maintaining the CASS framework policy.
  • FRC administration, including scope and applicability assessments, Safeguarding risk assessments, and incident triage and assessment.
  • Facilitating SafeCo committee and related board governance reporting.
  • Facilitating and managing external and internal Safeguarding and CASS audit activities.
  • Ensuring Safeguarding/CASS procedures comply with CASS and are kept up to date.
  • Maintaining the CASS & Safeguarding Resolution Pack.
  • Being a member of the SafeCo committee and setting the tone of the Firm's compliance with regard to Safeguarding & CASS obligations.
  • Managing Safeguarding impact assessments.
  • Preparation of due diligence reports on banks and counterparties.
  • Presenting to colleagues in a clear and understandable fashion all matters in relation to Safeguarding & CASS.
  • Assisting with other Global Safeguarding projects.
  • Exhibiting GC values: accountability, passion, integrity, excellence, collaboration, and personalisation.
  • Accountable for understanding Consumer Duty policy and procedures, partnering and collaborating within the team to achieve set standards.

Expected Competences:

  • Ability to translate Safeguarding/CASS requirements to practical business circumstances to ensure compliance to FCA expectations.
  • Observing proper standards of market, business, and personal conduct, demonstrating integrity in the execution of duties.
  • Reviewing and resolving complex issues working under pressure and meeting challenging deadlines.
  • Analytical, accurate, and strong problem-solving skills are essential.
  • Familiarity with reconciliations, both automated and Excel-driven.
  • Ability to articulate Safeguarding/CASS issues both in verbal and written form to aid swift resolution.
  • Project management activities, specific to regulatory change initiatives.
  • Familiarity with technology and a deep understanding of technical concepts.

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