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Senior CASS Analyst

2 months ago

Greater London, United Kingdom CMC Markets Full time

The Senior Client Asset Analyst will work in the firm’s Client Asset Management Team, within the Finance Department. The role reports to the Head of the CAM team and will also have responsibility of managing the workload of the Client Asset Analysts in the team. As a UK Client Asset Specialist Sourcebook (“CASS") experienced individual, the SCAA will be responsible for supporting CMC in the UK with CASS oversight, as well as the wider group on client asset oversight.


This is a key control function in the heavily regulated CASS environment helping to ensure we deliver on one of the FCA’s key principles - arranging adequate protection for clients’ assets.


*** Please note that this is an onsite role that will require you to work within our London office (near Liverpool street) 5 days on site per week. ***


ROLE AND RESPONSIBILITIES

  • To assist the Head of CAM in ensuring the firm is in compliance with its obligations under the Financial Conduct Authority (“FCA”), CASS and similar regulations imposed by other regulators where we have overseas subsidiaries.
  • Assist in the day-to-day management of client assets throughout the group.
  • Overseeing the daily client asset reconciliations including custody asset and client money for the FCA and equivalent for overseas regulated firms where CMC UK performs the reconciliation as a service provider
  • Overseeing the work of two Client Asset Analysts
  • Providing guidance to and support for junior team members on CASS and related operational matters
  • Assisting in generating and maintaining client money policies
  • Providing support to the Head of CAM in enabling client asset regulatory change across CMC UK and the wider Group
  • Dealing with client asset queries and being the primary contact on procedural queries
  • Ensuring the accurate recording and identification of incidents related to CASS, as and when they arise
  • Maintaining an up-to date CASS resolution pack
  • Assist in the annual external CASS Audits and internal audits as required.
  • Managing the workload of Client Asset Analysts in the CAM team and providing cover on absences
  • Undertake such other duties, training and/or hours of work as may be reasonably required, and which are consistent with the general level of responsibility of this role.



KEY SKILLS AND EXPERIENCE

  • Strong knowledge of CASS rules, specifically CASS 6 and 7
  • Good working knowledge of financial markets and related products, ability to identify, analyse and resolve complex issues working to strict deadlines.
  • Demonstrate a good working knowledge of operational cash management and reconciliations.
  • Experience of incident management beneficial
  • Experience of being audited or auditing beneficial
  • IT competent, particularly MS Office (Advanced Excel and Word)
  • Strong attention to detail
  • Ability to work independently and within a team environment
  • Confident communicator


CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.