At a Glance
- Tasks: Lead compliance for client assets and ensure FCA regulations are met.
- Company: Dynamic investment firm in London with a focus on compliance excellence.
- Benefits: Competitive salary and a supportive work environment.
- Other info: Opportunity to engage with auditors and regulators in a fast-paced setting.
- Why this job: Be the go-to expert in compliance and make a real difference in the finance sector.
- Qualifications: 5+ years of CASS experience and strong regulatory knowledge required.
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 employer: McCabe & Barton
As a Compliance Manager at our esteemed investment firm in London, you will thrive in a dynamic 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
✨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. We recommend creating a cheat sheet of key points and examples from your experience that showcase your expertise. This will help you feel confident and ready to impress!
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, send a quick thank-you email to express your appreciation and reiterate your interest in the role. It shows professionalism and keeps you fresh in their minds.
✨Tip Number 4
Apply through our website for the best chance at landing that Compliance Manager role! We make it easy for you to showcase your skills and experience directly to hiring managers. Plus, you’ll be part of a community that values compliance expertise!
We think you need these skills to ace Compliance Manager
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, communication is key. In your application, demonstrate your ability to engage with stakeholders and regulators. We love seeing clear, concise writing that reflects your strong documentation skills!
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 Client Assets (CASS) regulations. Be prepared to discuss specific FCA rules and how they apply to the role. This will show that you're not just familiar with the basics, but that you can navigate the complexities of compliance.
✨Showcase Your Experience
Prepare examples from your past roles where you've successfully managed CASS arrangements or dealt with regulatory engagements. Use the STAR method (Situation, Task, Action, Result) to structure your answers, making it easy for the interviewers to see your impact.
✨Communicate Clearly
As a Compliance Manager, you'll need to communicate effectively with various stakeholders. Practice articulating complex compliance concepts in simple terms. This will demonstrate your ability to engage with both technical and non-technical audiences.
✨Prepare Questions for Them
Think of insightful questions to ask about the firm's CASS governance framework and their approach to compliance challenges. This shows your genuine interest in the role and helps you assess if the company aligns with your career goals.
