CASS Regulatory Compliance Manager
Salary £60,000 - £90,000 per annum
Consultant Kayte Short
Date posted 01 June 2022midlands banking-financial-services/compliance 2022-06-01 2022-07-31 financial-services Stratford-upon-Avon Warwickshire GB CV37 7BJ GBP 60000 90000 90000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
An excellent opportunity is available with a leading financial institution based in Warwickshire for a CASS Regulatory Compliance Manager to manage and control regulatory compliance data within the company and its third party administrators and return submissions to comply with all regulatory and internal reporting requirements. The business are applying an agile working policy with a mix of office and home working, at least two days per week will be required in the office.
You will provide technical compliance insight to the Board to guide business decisions and safeguard assets with a specific focus on the FCA Client Monies and Assets (CASS) Requirements.
Duties will include:
Develop and monitor processes, systems and controls in order to manage and mitigate regulatory compliance risk efficiently and safeguard assets with a specific focus on the FCA Client Monies and Assets (CASS) requirements and the external CASS audit requirements.
Plan, manage and review of comprehensive, accurate and timely compliance controls, data and reports to meet regulatory requirements and internal reporting needs.
- Guide and advise on regulatory compliance matters to enable the business to make fully informed decisions based on a clear understanding of any implications.
Assess the compliance impact of legal and regulatory changes in order to influence outcomes, communicate possible implications for the business and ensure on-going regulatory compliance.
Build and maintain effective relations with regulatory and professional bodies to protect the business's reputation.
Plan, forecast and monitor capital funding resources requirements through internal and external reporting.
Lead, manage and motivate direct reports, (two initially).
The CASS Regulatory Compliance Manager will possess detailed specialist working knowledge of FCA Client Monies and Assets (CASS) requirements and the application of business processes, controls and records appropriate for the business types in order to meet those requirements to the level expected by the FCA and external audit review. You will have expert knowledge of compliance principles and practices, management and business controls and regulatory and statutory requirements and expert knowledge of business and compliance systems. You will have proven ability to explain complex compliance information in written and verbal form to compliance and non-compliance people.
This is an excellent opportunity for growth and progression, please apply now or for further information contact Kayte Short at Robert Walters at firstname.lastname@example.org
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