CASS / Regulatory Control, London recruitment
An excellent role for a candidate with CASS or Client Money experience is available at a top Investment Bank.
Key Responsibilities
- 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 remediate 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 remediate any issues
- Conduct risk control assessments on Operations owned compliance issues and work with the business lines to maintain a robust regulatory control environment.
Key Requirements
- Investment banking experience, specifically within the regulatory arena (CASS)
- Operational knowledge experience of CASS rules
- Knowledge of CASS related rules
- Experienced in the use of Microsoft Office (specially Excel , Word and Power point)
- Excellent verbal and written communication skills
- Ability to identify, analyse and remediate issues/risks with the business by way of logical thinking and attention to detail.
- Ability to work independently and in a team environment
March 15, 2012
• Tags: CASS, London recruitment, Operations careers in the UK, Regulatory Control • Posted in: Financial