CASS Operational Regulatory Lead – VP/Director Level – City based IB
The Regulatory Governance team sits within the EMEA regional management team and supports the Ops EMEA Head in ensuring regulation within the region is understood and adhered to.
The team is made up of three discrete sub-teams responsible for Regulatory Disclosures, Transaction Reporting and Regulatory Adherence. The CASS Adherence Lead will report into the Regulatory Adherence Head but will need to be able to operate independently in supporting the CF10a’s in executing their responsibilities.
Designed to support the EMEA region and in particular London, the role will comprise a broad range of tasks. On a daily/regular basis the candidate will be responsible for:
- Analysing the daily CASS reporting and escalating where appropriate to the CF10a’s.
- Providing guidance to the centralised regulatory adherence quality assurance team and assisting them in interpreting their findings
- Influencing the decentralised CASS adherence functions when necessary to ensure they are meeting their day-to-day responsibilities
- The successful candidate will work with Compliance and the EMEA regional management team to interpret new/changes to CASS rules
- Preparing the material for the various CASS Governance forums from regular Steering Committees through to Board meetings
- Chairing and writing minutes for the centralised CASS Governance forums
- Conducting regular policy reviews for CASS adherence
My Client is looking for the following skill set;
- Working knowledge of FSA CASS rules
- Delivery focus
- Relationship building and management
- Influencing skills
- Ability to work with senior groups
- Integrity and discretion are key to help ensure sensitive information is handled with care
For further details please contact thomasduke@eximiusoperations.com
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