Head of Safeguarding and Client Assets

2 months ago

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

Empirical Search Limited is seeking a seasoned professional to fill the role of Head of Safeguarding and Client Assets. This position will be responsible for overseeing the safeguarding of client assets and ensuring compliance with regulatory requirements.

Key Responsibilities
  • Design and implement a safeguarding policy framework across multiple regulated entities.
  • Develop a regulatory approach to provide analysis and enable operational flow of fund models, ensuring safeguarding requirements are met for existing products and new business initiatives.
  • Oversight of safeguarding compliance and development of enhancements to manage and remediate breaches, while monitoring to satisfy regulatory requirements.
  • Manage escalations, management information, and project updates to senior management and committees.
  • Lead safeguarding-related audits, working directly with audit firms and regulators, and coordinating internally across various departments.
  • Manage projects to develop and enhance safeguarding-related processes and controls with treasury teams, ensuring compliance with related policies.
  • Develop and document safeguarding policies to support the framework, including delivery of training materials.
  • Contribute to wider strategic global expansion and regulatory initiatives within the treasury space.
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).
  • Excellent 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, along with associated risks and controls.
  • Experience in line management and a track record of supporting career development within teams.

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