CASS Quality Assurance / Client Compliance AVP recruitment
Our client, a Tier 1 Investment Bank based in Canary Wharf is currently searching for an AVP to join the CASS QA function within the wider Operations Regulatory Control team.
The Operations Regulatory Control (ORC) team is responsible for ensuring that regulatory obligations are met within the wider Operations environment.
One of the key work streams within ORC is to ensure the protection of Clients assets, money and custody, in line with the FSA requirements.
Main Function
* Conduct regular quality assurance reviews of CASS related processes and controls, which includes treatment of client money and client assets
* Identify gaps in processes and work with the business to re-mediate gaps and answer queries in order to ensure compliance with regulatory rules and where required, improve operational efficiencies
* Clearly document results of testing and action plans to re-mediate any issues
* Conduct risk control assessments on Operations owned compliance issues and work with the business lines to maintain a robust regulatory control environment.
* Manage the daily BAU custody processes including governance around new accounts, reconciliations and reporting.
Person Requirements
Experience required:
Investment banking experience, specifically within the regulatory arena (CASS)
Operational knowledge experience of CASS rules
Skills and knowledge:
Knowledge of CASS related rules
Experienced in the use of Microsoft Office (specially Excel , Word and Power point)
Investment Banking knowledge (preferred)
Candidate Profile:
Excellent verbal and written communication skills
Ability to identify, analyse and re-mediate issues/risks with the business by way of logical thinking and attention to detail.
Ability to work independently and in a team environment
