Safeguarding and Compliance Lead

1 day ago


London, Greater London, United Kingdom Empirical Search Limited Full time

Empirical Search Limited is a leading recruitment agency specializing in finance and treasury roles. We are currently seeking an experienced Safeguarding & CASS Manager/Senior Manager to join our client's team.

The successful candidate will be responsible for the buildout and deepening of Safeguarding capabilities globally, working closely with multiple regulated entities. This includes designing and implementing a Safeguarding Policy Framework, developing regulatory approaches across products, and ensuring compliance with related policies.

Key Responsibilities
  • Contribute to the design and implementation of Safeguarding Policy Frameworks across multiple regulated entities
  • Develop regulatory approaches across products to provide analysis and enable operational flow of fund models
  • Oversight of Safeguarding compliance, developing enhancements to manage and remediate breaches, and monitoring to satisfy regulatory requirements
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 the ability to build and leverage cross-functional relationships internally and externally
  • Good understanding of treasury concepts within financial services firms, including reconciliations, cash management, and FX, as well as associated risks and controls
  • Experience of working through change and implementing new cross-functional processes

Salary: £80,000 - £100,000 per annum, depending on experience.


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