Regulatory Compliance Manager for CASS / CAM
Trading International Banking, CASS Logistics Compliance
You should have an excellent understanding of the FSA CASS rules and implementation. A process expert, you should be able to translate concepts into highly effective processes and be able to liaise confidently with Regulators, the Business, Risk IT.
KEY RESPONSIBILITIES:
- Provide specialist advice for CASS / CAM 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 and/or CAM rules and their implementation in practice.
- SME in one or more areas of financial services compliance.
- Process expert: ability to translate concepts into effective processes.
- Educated to degree level.
- Graduate and/or Professional qualifications, Accountancy preferred or Lawyer.
PERSONAL ATTRIBUTES:
- International Compliance awareness, particularly for APAC a plus
- Strong creative skills to resolve complex problems and new procedures.
- Exceptional learning agility and a desire to support the learning of others.
- Sound judgement is essential for this role.
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