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 Leicester 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 Leicester
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment sector and let them know you're on the hunt for a Compliance Manager role. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨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 stand out as the go-to CASS expert they need!
✨Tip Number 3
Don’t just wait for job alerts! Actively search for roles on our website and apply directly. Tailor your application to highlight your experience with client money calculations and regulatory engagement, making it clear why you’re the perfect fit for the firm.
✨Tip Number 4
Follow up after interviews! A quick thank-you email reiterating your interest in the role and mentioning something specific from the conversation can keep you top of mind. It shows you’re proactive and genuinely interested in the position.
We think you need these skills to ace Compliance Manager in Leicester
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 candidates who can articulate complex compliance issues clearly!
Apply Through Our Website:We encourage you to apply through our website for the best chance of getting noticed. It helps us keep track of applications and ensures you’re considered for the role. Don’t miss out on this opportunity!
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. This will show that you're not just familiar with the regulations, but that you can apply them effectively.
✨Demonstrate Your Stakeholder Management Skills
Since you'll be managing relationships with external auditors and regulators, think of instances where you've successfully navigated these interactions. Prepare to share how you’ve communicated complex compliance matters to different stakeholders, as this will highlight your excellent communication skills.
✨Showcase Your Problem-Solving Abilities
Be ready to discuss how you've handled CASS breaches in the past. Think about a specific situation where you had to escalate an issue to the FCA and what steps you took to resolve it. This will demonstrate your ability to manage risk and ensure compliance under pressure.
✨Prepare Questions for Them
Interviews are a two-way street! Prepare insightful questions about their current CASS governance framework or how they handle change management. This shows your genuine interest in the role and helps you assess if the firm aligns with your career goals.
