Compliance Specialist - Compliance Recruitment Solutions

COMPLIANCE OPERATIONS & CASS MANAGER – EXPERIENCE OF OPS (REPORTING,  RETURNS, TRAINING ETC) & GOOD CASS KNOWLEDGE REQUIRED

£80K plus bonus & benefits                                                                  50%  Hybrid (London)

REF:4127D2

We are recruiting for our client, a leading Financial Services Group, seeking an experienced Regulatory and Compliance Lead with a CASS specialism to play a pivotal role in providing comprehensive second line compliance support to the organisation. You will serve as a strategic partner to business leaders, aligning regulatory and compliance initiatives (including Consumer Duty) with business objectives, while also handling generalist responsibilities. This role requires a versatile compliance professional with expertise in regulatory compliance, a strategic mindset, and the ability to build effective relationships. Managing a small team, duties will include;

• Provide CASS advice and steering as required
• Provide guidance and support to business units on compliance matters
• Conduct compliance themed advisory reviews based on risk assessments and develop strategies to mitigate identified risks
• Develop and implement compliance training programs to educate employees on relevant laws, regulations, and internal policies
• Monitor and assess the effectiveness of compliance training programs and make recommendations for improvements
• Collaborate with internal stakeholders, such as quality assurance, risk management and internal audit, to ensure a coordinated approach to compliance
• Investigate and respond to compliance-related complaints and inquiries from regulators, clients & staff
• Support the SMCR regime by closely working with Compliance Operations who submit FCA Connect forms and Directory Persons as required
• Support the ongoing regulatory and change initiatives by acting as the FCA compliance expert
• Prepare and submit regulatory reports and filings as required
• Keeping management informed of significant compliance issues and developments.
• Assisting in the analysis and production of Compliance Governance reporting
• Assisting in the identification and assessment of emerging risk including those arising from changes to regulatory obligations
• Participating in industry forums and staying informed about emerging compliance trends and best practices

You should have a strong CASS background and experience, including client money and assets, CASS RP and good general knowledge of the FCA Handbook with the ability to draft Compliance Oversight reports and other management reports, create and deliver specific compliance training and analyse FCA returns from across the business to ensure they are comparative with previous returns.

Great opportunity to join rapidly expanding Compliance Dept at an exciting time with plenty of opportunities for internal progression.  NB We have already filled many roles at this client including some of the senior positions hence are well placed to advise you on these

  So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

    The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.