Cass Oversight Officer

The company is a growing European Fintech firm who are growing their UK presence.

Description

Key responsibilities

1. Act as the liaison to the regulator on matters relating to Client Money and Assets and become the appointed CASS Oversight Officer, responding to requests from FCA and auditors.
2. Provide strategic and technical advice on CASS compliance to business and support functions while promoting regulatory awareness.
3. Design, develop and implement efficient control processes to ensure compliance with FCA CASS regulation.
4. Maintain up-to-date knowledge of regulatory changes and developments within the financial services industry.
5. Ensure effective communication of compliance issues and requirements across all levels of the organisation.
6. Implement and oversee compliance processes across stakeholder groups including the CASS Resolution Pack and the Client Money & Assets Return.
7. Design and conduct quality assurance testing to ensure ongoing compliance.
8. Develop client asset policies and ensure they are formally documented.
9. Oversee and approve daily client money and custody asset reconciliations.

Profile

A successful CASS Oversight Officer should have:

1. 5+ years of experience in financial services firms regulated by FCA.
2. Advanced knowledge of UK CASS regulations and experience within a CASS Oversight function gained through experience in financial services or as an industry practitioner.
3. Solution-oriented personality and eagerness to build compliant processes with the product and operations department.
4. Experience working in regulatory/operational functions within a financial services firm, including knowledge of trade flows and the management of control processes.
5. Excellent awareness of regulatory risk and control mechanisms.
6. Strong communication and reporting skills.

Job Offer

1. An estimated salary range of £90,000-£120,000 per year.
2. A comprehensive benefits package including pension and health benefits.
3. A supportive company culture that promotes professional growth and development.
4. Remote working.

We are excited to meet talented professionals who are ready to take on this fulfilling role.