At a Glance
- Tasks: Lead the design and oversight of Client Assets arrangements for a regulated investment firm.
- Company: Dynamic investment firm in London with a focus on compliance and client assets.
- Benefits: Competitive salary package and opportunities for professional growth.
- Other info: Join a supportive team with a strong emphasis on compliance and risk management.
- Why this job: Become the CASS expert and ensure compliance while managing key relationships.
- Qualifications: 5+ years of CASS experience and deep knowledge of FCA rules 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 CASS employer: McCabe & Barton
As a leading investment firm based in London, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our competitive package not only reflects our commitment to attracting top talent but also offers unique opportunities for professional advancement in the compliance sector. Join us to be part of a team that values innovation, collaboration, and excellence in ensuring regulatory compliance.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager CASS
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars where you can meet potential employers and showcase your expertise in CASS.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA CASS rules. Be ready to discuss how you've managed CASS breaches or engaged with auditors in the past. We want to see your experience shine!
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and expertise. Use our website to find roles that excite you, especially those that highlight your CASS experience and regulatory engagement.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way. Mention something specific from your conversation to remind them why you're the perfect fit for their CASS oversight needs.
We think you need these skills to ace Compliance Manager CASS
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Manager CASS role. Highlight your 5+ years of CASS experience and any specific achievements that demonstrate your deep knowledge of FCA CASS rules. We want to see how you can bring your expertise to our team!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Mention your experience with managing CASS breaches and your strong communication skills. We love seeing genuine enthusiasm for the position!
Showcase Your Regulatory Engagement:Since this role involves a lot of interaction with auditors and regulators, make sure to highlight any relevant experiences in your application. We want to know how you've successfully managed these relationships in the past and how you can do it for us!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Plus, it’s super easy to do!
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 or dealt with compliance issues.
✨Showcase Your Governance Skills
Be ready to talk about how you've designed and maintained governance frameworks in previous roles. Highlight any policies, procedures, or controls you've implemented that ensured compliance and improved operations.
✨Prepare for Regulatory Engagement Questions
Expect questions about your experience with external auditors and FCA supervisors. Think of scenarios where you've effectively communicated with these stakeholders and how you handled any challenges that arose.
✨Demonstrate Strong Documentation Practices
Since documentation is key in compliance roles, come prepared with examples of how you've maintained thorough records and evidence of compliance. Discuss your approach to managing CASS breaches and how you escalated issues when necessary.
