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CASS Manager

3 months ago

London UK, UK, United Kingdom Compliance Professionals Full time

The Client

We are working with a international retail trading firm on their search for a CASS Manager. The firm have an international footprint with over 1000 employees worldwide. This role is a permanent vacancy.


The Responsibilities

  • Oversight and approval of daily client money and custody asset reconciliations.
  • Preparation of monthly CMAR reports.
  • Ensuring client money and asset procedures comply with CASS and are kept up to date.
  • Operational adherence to the CASS rules contained within the FCA handbook, update of procedures, breaches tracking, CASS advice to the business
  • Maintaining the CASS framework policy.
  • Managing the annual CASS audit and coordinating the responses to auditor findings and the management letter.
  • Being a member of the CASS committee and setting the tone of the Firm's compliance with regard to CASS obligations.
  • Managing CASS impact assessments.
  • Acting as the liaison between the firm and the regulator on all matters relating to Client Assets and client money.
  • Assisting with other Global CASS projects.


Your Profile

  • 5+ years CASS experience within a retail investment firm (Ideally a broker)
  • Knowledge of crypto & CFD’s is highly desirable
  • Advantageous if previously held the CF10a function.
  • Ability to commute to London on a weekly basis (Hybrid working)
  • No sponsorship is available for this role.



For more information please reach out to Jordan White - 18932