Head of Safeguarding and Client Assets (Manager level)

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Head of Safeguarding and Client Assets (Manager level), London

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Client:

Empirical Search

Location:

London, United Kingdom

Job Category:

Customer Service

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EU work permit required:

Yes

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Job Reference:

dacf116f1197

Job Views:

9

Posted:

26.04.2025

Expiry Date:

10.06.2025

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Job Description:

Role Description

• Responsible for contributing to the design and overall implementation of the Safeguarding Policy Framework across multiple regulated entities
• Develop a regulatory approach across products to provide analysis and enable operational flow of fund models, providing recommendations to meet safeguarding requirements for existing products and new business requirements
• Responsible for oversight of Safeguarding compliance and developing enhancements to manage and remediate breaches, alongside monitoring to satisfy regulatory requirements
• Manage escalations, management information and project updates to Senior Management and committees
• Manage and lead safeguarding related audits working directly with audit firms and regulators, whilst coordinating internally across various departments
• Manage projects to develop and enhance safeguarding related processes and controls with treasury teams to ensure compliance with related policies
• Develop and document Safeguarding Policies to support the framework including including delivery of training materials
• Involvement in wider strategic global expansion and regulatory initiatives within the treasury space

Role Requirements

• 7+ years of either treasury, finance, regulatory or risk related experience
• Strong understanding of protection/custodianship of customer assets and related regulatory frameworks (e.g. EMI/PI Safeguarding, CASS or banking)
• Strong communication and influencing skills with an ability to build and leverage cross-functional relationships internally and externally (e.g. audit firms and regulators)
• Good understanding of treasury concepts within financial services firms such as reconciliations, cash management and FX etc including associated risks and controls
• Experience of working through change and implementing new cross-functional processes
• Attention to detail and proactivity crucial
• Experience of line management and track record of supporting career development within teams
• Forward-thinking, adaptable and thrives in a fast paced environment

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