CASS Specialist
Our client is an Investment Manager looking for an individual to fill the role of CASS Specialist. The successful candidate must have an in-depth knowledge and understanding of the procedures and practices regarding client money and assets.
Role Responsibilities:
* To provide clear, pragmatic guidance and support to the business on regulatory issues in general but particularly in relation to the CASS Sourcebook, to business operations regarding regulatory requirements supporting the development of processes, procedures and controls as required but particularly in relation to Client Money and Assets.
* To review operational management information to identify risks/issues with regulated activity (in particular those relating to Client Money and Assets) and provide associated guidance and support to the business.
* To provide support and guidance to the firms CF10a to ensure they fully understand their regulatory responsibilities in relation to Client Money and Assets.
* To assist in meeting contractual obligations and reasonable relationship requirements with business partners.
* To represent Operations on projects and provide appropriate advice and guidance.
* To maintain, operate and develop compliance operational processes.
Personal Qualifications:
* Knowledge of regulatory requirements, especially the Financial Services Authority rules and in particular the CASS Sourcebook.
* Knowledge of client money and client asset processes, including reconciliations.
* Candidates with degree level education or equivalent would be preferable.
If you are interested in finding out more about this role please contact Richard Aldridge for a discussion or email your CV on richard.aldridge@blackswangroup.com.
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