At a Glance
- Tasks: Lead compliance operations and ensure adherence to FCA regulations in a dynamic investment firm.
- Company: Reputable investment firm in London with a focus on client asset management.
- Benefits: Competitive salary package and opportunities for professional growth.
- Other info: Collaborative environment with opportunities to engage with auditors and regulators.
- Why this job: Be the go-to expert in compliance and make a significant impact in the finance sector.
- Qualifications: 5+ years of CASS experience and strong knowledge of FCA rules.
The predicted salary is between 60000 - 80000 £ per year.
Own the design, operation, and oversight of all Client Assets (CASS) arrangements for a regulated investment firm. You'll be the firm's CASS expert - ensuring full FCA compliance while managing daily operations, vendor relationships, and regulatory engagement.
WHAT YOU'LL DO
- Design and maintain CASS governance framework (policies, procedures, controls)
- Oversee daily client money calculations and reconciliations
- Manage CASS breaches and escalate to FCA when needed
- Act as point of contact for external auditors and FCA supervisors
- Ensure the firm can demonstrate full compliance at all times
- Manage third-party relationships (clearing banks, custodians, LME Clear)
- Support change management and risk planning
WHO YOU ARE
- 5+ years CASS experience
- Deep knowledge of FCA CASS rules and MIFIDPRU firms
- Experience with exchange-traded and cleared derivatives
- Proven engagement with auditors and regulators
- Strong documentation, evidencing, and audit skills
- Excellent communication and stakeholder management
Compliance Manager in Basildon employer: McCabe & Barton
As a Compliance Manager at our esteemed investment firm in London, you will thrive in a dynamic and supportive work culture that prioritises compliance excellence and professional growth. We offer a competitive package alongside opportunities for continuous development, ensuring you are well-equipped to navigate the complexities of FCA regulations while enjoying the vibrant atmosphere of one of the world's leading financial hubs.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager in Basildon
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, sometimes it’s not just what you know, but who you know!
✨Tip Number 2
Prepare for interviews by brushing up on your CASS knowledge and FCA regulations. Be ready to discuss real-life scenarios where you've managed compliance issues. Show them you’re not just a candidate, but the expert they need!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation and reiterate your interest in the role. It keeps you fresh in their minds and shows your enthusiasm.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Manager role! We’ve got all the latest openings and applying directly can sometimes give you an edge over other candidates. Let’s get you that dream job!
We think you need these skills to ace Compliance Manager in Basildon
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Manager role. Highlight your CASS experience and any relevant FCA compliance work you've done. We want to see how your skills match what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for our team. Share specific examples of your experience with CASS governance and regulatory engagement that align with our needs.
Showcase Your Communication Skills:As a Compliance Manager, strong communication is key. In your application, demonstrate your ability to engage with stakeholders and auditors. We love seeing candidates who can clearly articulate their thoughts and experiences!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows us you’re keen on joining our team!
How to prepare for a job interview at McCabe & Barton
✨Know Your CASS Inside Out
Make sure you brush up on your knowledge of the FCA CASS rules and MIFIDPRU firms. Be prepared to discuss specific examples from your past experience where you've successfully managed CASS arrangements, as this will show your expertise and confidence in the subject.
✨Showcase Your Stakeholder Management Skills
Since you'll be managing relationships with external auditors and regulators, think of instances where you've effectively communicated and collaborated with stakeholders. Prepare to share these stories during the interview to demonstrate your strong communication skills.
✨Prepare for Scenario-Based Questions
Expect questions that put you in hypothetical situations related to CASS breaches or compliance challenges. Practise how you would handle these scenarios, focusing on your problem-solving skills and ability to escalate issues appropriately.
✨Highlight Your Change Management Experience
As the role involves supporting change management and risk planning, be ready to discuss any relevant projects you've led or contributed to. Emphasise your adaptability and how you've successfully navigated regulatory changes in the past.
