Financial Services Regulatory Expert

2 days ago


London, Greater London, United Kingdom Michael Page Full time

At Michael Page, we are seeking a skilled Financial Services Regulatory Expert to join our team in the UK. As an Asset Integrity Officer, you will play a crucial role in ensuring compliance with UK CASS regulations.

About the Role

This is a key position that requires strong knowledge of regulatory requirements and experience in financial services firms regulated by the FCA.

Key Responsibilities
  1. Act as liaison to regulator on matters relating to Client Money and Assets and become appointed CASS Oversight Officer, responding to requests from FCA and auditors.
  2. Provide strategic and technical advice on CASS compliance to business and support functions while promoting regulatory awareness.
  3. Maintain up-to-date knowledge of regulatory changes and developments within the financial services industry.
  4. Implement and oversee compliance processes across stakeholder groups including the CASS Resolution Pack and the Client Money & Assets Return.
  5. Design and conduct quality assurance testing to ensure ongoing compliance.
  6. Develop client asset policies and ensure they are formally documented.
  7. Oversee and approve daily client money and custody asset reconciliations.
About You

We are looking for a candidate with 5+ years of experience in financial services firms regulated by FCA.

You should have advanced knowledge of UK CASS regulations and experience within a CASS Oversight function gained through experience in financial services or as an industry practitioner.

A comprehensive benefits package including pension and health benefits, a supportive company culture that promotes professional growth and development, and remote working make this an attractive opportunity.

Salary: £60,000 - £80,000 per annum (depending on location).



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