Job Description
THE COMPANY:Our client is a market leader in the retail brokerage space, going through an exciting period of growth.THE RESPONSIBILITIES:Manage the Client Money Team on a day-to-day basis to efficiently discharge all client money responsibilities and obligationsWork closely with the Group CFO to agree top priorities for CMA work and maintain transparency and clear communication.Assist in the training and development of all staff looking after Client MoneyManage the review, development and updating of existing financial systems/processes/proceduresIdentify any gaps in CMA processes and ensure that those gaps are remediated.Maintain up to date knowledge of upcoming regulatory rule changes and ensure they are implemented as appropriate.Be able to provide technical advice on CASS complianceResponsibility for managing all regulated entities' client money auditsRespond to requests from auditors and regulators.Be the point of contact for audit partners.Ensure timely submission of the CMAR and other CMA related submissions.Working closely with the oversight of the daily Client Money calculations, including final check and approval on occasion.Final review of minutes and MI before being distributed to Boards and Committees.Any ad hoc projects and/or tasks as assigned by Senior Executive Management.EXPERIENCE REQUIRED:Previous proven knowledge and experience in a CASS role in a financial services organisationExcellent interpersonal skills and ability to work with all staff at all levels and locations within the Group.Ability to work under pressure, to meet personal and departmental objectives within strict deadlines.Extensive experience and knowledge of CASS governance (CASS 6 & 7).Experience of managing CMA audit relationships.High degree of numeracy and excellent written and spoken communication skills.High degree of computer literacy in MS Office (Excel must be advanced with ability to use look ups and pivot tables).For further information please contact Natalie EshelbyAbout this roleLocation:LondonSpecialism:Salary:£ Market rateType:Reference:18990Compliance Professionals
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