Client Money and Assets Governance Specialist

5 days ago

London, Greater London, United Kingdom FXCM Full time
Job Summary

We are seeking a highly experienced and skilled professional to join our team as a Group Client Money and Assets Oversight Manager. This is a critical role that requires a deep understanding of client money and assets governance, as well as excellent leadership and communication skills.

Key Responsibilities
  • Manage all aspects of client money and assets safeguarding for all regulated entities within the Stratos Group.
  • Develop and maintain the governance framework to ensure full compliance with client money and assets regulatory requirements in all jurisdictions that the Stratos Group operates in.
  • Manage the client money team and ensure the accurate and timely production of their deliverables on a daily, monthly, quarterly, and annual basis.
  • Manage the client money audits for all regulated entities, ensuring remediation of all audit management points is achieved in a timely manner.
  • Work closely with the Group CFO to agree top priorities for client money work and maintain transparency and clear communication.
  • Assist in the training and development of all staff looking after client money in London and overseas with respect to client money support.
  • Manage the review, development, and updating of existing financial systems, processes, and procedures for accuracy and expediency and suggest improvements where necessary in scope of client money activity.
  • Identify any gaps in client money processes and ensure that those gaps are remediated.
  • Maintain up-to-date knowledge of upcoming regulatory rule changes and ensure they are implemented as appropriate.
  • Be able to provide technical advice on CASS compliance to all areas of the business and promote regulatory awareness.
  • Responsibility for managing all regulated entities' client money audits, including external audit, internal audit, and Compliance Monitoring reviews.
  • Respond to requests from auditors and regulators. Be the point of contact for audit partners.
  • Ensure timely submission of the CMAR and other client money-related submissions.
  • Working closely with the oversight of the daily client money calculations, including final check and approval on occasion. This includes all regulated entities.
  • Final review of minutes and MI before being distributed to Boards and Committees.
  • Any ad hoc projects and/or tasks as assigned by Senior Executive Management.
Requirements
  • Previous proven knowledge and experience in a similar role in a financial services organization.
  • Excellent interpersonal skills and ability to work with all staff at all levels and locations within the Group.
  • Ability to work under pressure, to meet personal and departmental objectives within strict deadlines.
  • 10+ years of experience and knowledge of CASS governance (CASS 6 & 7).
  • Experience of managing CMA audit relationships.
  • High degree of numeracy and excellent written and spoken communication skills.
  • High degree of computer literacy in MS Office (Excel must be advanced with ability to use lookups and pivot tables).
  • High level of attention to detail.
  • Experience of managing a team of 3+ employees.
Working Arrangements

Monday to Friday, 8:30 - 17:30. Work from office: 3 days/week.

All Stratos Market Limited employees must be eligible to work in the United Kingdom.

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