Safeguarding Compliance Specialist

7 days ago

London, Greater London, United Kingdom GC Partners Full time
About GC Partners

We are GC Partners, a specialist financial exchange company with 20 years of experience, providing bespoke technology and dedication to customer service. Our global presence includes six offices, with further expansion planned.

As an employee-owned trust, our employees act as owners and partners, working towards a common goal: delivering efficient payment solutions with market-leading technology and best-in-class service.

About the Role

The Safeguarding Risk Manager will work closely with the Risk team to ensure Safeguarding/CASS risks are properly managed, monitored, and controlled. Key responsibilities include developing and implementing Safeguarding risk mitigation strategies and plans, providing support and guidance on Safeguarding risk management matters, and conducting risk assessments and reviews of Safeguarding policies and procedures.

Main Responsibilities
  • Challenging and approving critical daily Safeguarding and CASS reconciliations
  • Reviewing movements across the Safeguarding calculation to ensure sufficient funds cover the firm's safeguarding obligations
  • Approving and submitting monthly CMAR and other regulatory returns
  • Providing subject matter expertise on Safeguarding and CASS regulations to facilitate regulatory compliance and business growth
  • Maintaining the Safeguarding & CASS Applicability and Control matrix
  • Maintaining the CASS framework policy
  • Managing FRC administration, including scope and applicability assessments, Safeguarding risk assessments, and incident triage
  • Facilitating SafeCo committee and related board governance reporting
  • Managing external and internal Safeguarding and CASS audit activities
  • Ensuring Safeguarding/CASS procedures comply with CASS and are up to date
  • Maintaining the CASS & Safeguarding Resolution Pack
  • Participating in the SafeCo committee and setting the tone for the firm's compliance with regard to Safeguarding & CASS obligations
  • Managing Safeguarding impact assessments
  • Preparing due diligence reports on banks and counterparties
  • Presenting Safeguarding & CASS matters to colleagues in a clear and understandable fashion
  • Assisting with other Global Safeguarding projects
Expected Competences
  • Ability to translate Safeguarding/CASS requirements to practical business circumstances to ensure compliance with 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, meeting challenging deadlines
  • Analytical, accurate, and strong problem-solving skills are essential
  • Knowledge of reconciliations, both automated and Excel-driven
  • Ability to articulate Safeguarding/CASS issues in both verbal and written form to aid swift resolution
  • Project management activities specific to regulatory change initiatives
  • Familiarity with technology and deep understanding of technical concepts

  • 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...

  • Compliance Monitoring Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...

  • Compliance Monitoring Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...

  • Senior Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Senior Compliance SpecialistWe are seeking a highly skilled Senior Compliance Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for providing management information and attending relevant internal meetings, responding to queries from across the business relating to SMCR matters, advising business...

  • Compliance Officer Legal Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistWe are seeking a highly skilled Compliance Officer Legal Specialist to join our team at Compliance Professionals. As a key member of our compliance function, you will play a critical role in ensuring our client's compliance with relevant regulations and laws.Key Responsibilities:Develop and implement compliance policies and...

  • Compliance Officer Legal Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistWe are seeking a highly skilled Compliance Officer Legal Specialist to join our team at Compliance Professionals. As a key member of our compliance function, you will play a critical role in ensuring our client's compliance with relevant regulations and laws.Key Responsibilities:Develop and implement compliance policies and...

  • Compliance Specialist

    2 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a Compliance Specialist to join our team at AJ FOX COMPLIANCE. As a Compliance Specialist, you will play a key role in ensuring that our firm meets all regulatory requirements and maintains a strong compliance culture.The ideal candidate will have strong analytical skills, an eye for detail, and a drive to embrace greater responsibilities. You...

  • Compliance Specialist

    16 hours ago

    London, Greater London, United Kingdom Paritas Recruitment - Compliance Full time

    About the RoleThe Compliance Specialist will support the onboarding process and third-party risk management, focusing on Know Your Customer (KYC) while also assisting with broader aspects of the Compliance Programme, such as risk assessments, screening and training.Key ResponsibilitiesSupport the onboarding process and third-party risk management, with a...

  • Compliance Risk Specialist

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Risk SpecialistWe are seeking a highly skilled Compliance Risk Specialist to join our team at AJ FOX COMPLIANCE. As a key member of our compliance team, you will be responsible for identifying and mitigating compliance risks across the firm.Key Responsibilities:Act as a key point of contact for compliance queries, ensuring all regulatory...

  • Compliance Monitoring Specialist

    2 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Job Summary:We are seeking a highly skilled Compliance Monitoring Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for assisting in the development and annual planning of the Compliance Monitoring Plan, independently scoping and planning all assigned reviews, and executing all assigned monitoring...

  • Safeguarding and Compliance Manager

    4 weeks ago

    London, Greater London, United Kingdom Empirical Search Full time

    Safeguarding and Compliance ExpertEmpirical Search is seeking a seasoned professional to lead our safeguarding and compliance efforts globally. As a key member of our team, you will be responsible for designing and implementing a robust safeguarding framework that meets regulatory requirements across multiple jurisdictions.The ideal candidate will have a...

  • Safeguarding and Compliance Manager

    4 weeks ago

    London, Greater London, United Kingdom Empirical Search Full time

    Safeguarding and Compliance ExpertEmpirical Search is seeking a seasoned professional to lead our safeguarding and compliance efforts globally. As a key member of our team, you will be responsible for designing and implementing a robust safeguarding framework that meets regulatory requirements across multiple jurisdictions.The ideal candidate will have a...

  • Safeguarding and Compliance Manager

    4 weeks ago

    London, Greater London, United Kingdom Empirical Search Full time

    Safeguarding and Compliance ExpertEmpirical Search is seeking a seasoned professional to lead our safeguarding and compliance efforts globally. As a key member of our team, you will be responsible for designing and implementing a robust safeguarding framework that meets regulatory requirements across multiple jurisdictions.The ideal candidate will have a...

  • Safeguarding and Compliance Manager

    4 weeks ago

    London, Greater London, United Kingdom Empirical Search Full time

    Safeguarding and Compliance ExpertEmpirical Search is seeking a seasoned professional to lead our safeguarding and compliance efforts globally. As a key member of our team, you will be responsible for designing and implementing a robust safeguarding framework that meets regulatory requirements across multiple jurisdictions.The ideal candidate will have a...

  • Compliance Officer Legal Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistOur client is a leading multi-national energy company seeking a Compliance Officer Legal Specialist to join their team. As a key member of the compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...

  • Compliance Officer Legal Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Officer Legal SpecialistOur client is a leading multi-national energy company seeking a Compliance Officer Legal Specialist to join their team. As a key member of the compliance function, you will play a critical role in ensuring the company's adherence to regulatory requirements and industry standards.Key Responsibilities:Develop and implement a...

  • Financial Crime Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    Financial Crime Compliance SpecialistWe are seeking a highly skilled Financial Crime Compliance Specialist to join our team at Compliance Professionals. The successful candidate will be responsible for performing compliance controls on the activity of the Company according to the Company's Financial Crime CMP.Key Responsibilities:Implement and update the...

  • Compliance Specialist

    3 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Compliance Career Advancement OpportunityWe are seeking a highly motivated and detail-oriented Compliance Specialist to join our team at AJ FOX COMPLIANCE. As a key member of our compliance department, you will play a vital role in ensuring the firm's continued success by identifying and mitigating regulatory risks.Key Responsibilities:Act as a primary point...

  • Compliance Specialist

    2 weeks ago

    London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job OverviewWe are seeking a highly motivated and detail-oriented Compliance Specialist to join our team at AJ FOX COMPLIANCE. As a key member of our compliance team, you will play a vital role in ensuring that our firm operates in accordance with all relevant laws and regulations.Your primary responsibilities will include:Providing expert advice on...

  • Safeguarding and Compliance Manager

    2 weeks ago

    London, Greater London, United Kingdom Empirical Search Full time

    Safeguarding and Compliance ManagerThe successful candidate will be responsible for developing and implementing a comprehensive safeguarding framework across the organization.This will involve identifying risks associated with safeguarding, contributing to the overall design and implementation of a safeguarding policy, and developing and managing...