Regulatory Compliance Manager for CASS
You should have an excellent understanding of the FSA CASS rules and implementation and have the experience and gravitas to liaise effectively with regulators, line management and risk.
KEY RESPONSIBILITIES:
- Provide specialist advice for CASS Compliance Monitoring and new products to achieve consistency across the business and create a strong "CASS culture."
- Ensure that policies procedures for compliance monitoring reg implementation is up-to-date and appropriate.
- Conduct CASS investigations initiated by regulators and/or HR disciplinary procedures.
- Monitor internal and external audit findings for CASS.
- Identify weaknesses in CASS processes, procedures and controls.
ESSENTIAL SKILLS AND EXPERIENCE:
- Good understanding of the FSA CASS Rules and their implementation in practice.
- Strong experience of leading teams in compliance environments.
- SME in one or more areas of financial services compliance.
- Proven ability to think strategically and to translate concepts into effective processes.
- Educated to degree level or equivalent.
- Graduate and/or Professional qualifications (Legal or Accountancy qualifications desirable).
PERSONAL ATTRIBUTES:
- Strong creative skills to resolve complex problems and new procedures.
- Exceptional learning agility and a desire to support the learning of others.
- Ability to demonstrate decisiveness and sound judgement consistently.
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