At a Glance
- Tasks: Lead CASS operations, ensuring compliance and managing vendor relationships in a dynamic investment firm.
- Company: Reputable investment firm based in London with a focus on regulatory excellence.
- Benefits: Competitive salary package and opportunities for professional growth.
- Other info: Join a collaborative team with a commitment to excellence and career advancement.
- Why this job: Be the go-to expert in CASS and make a significant impact on compliance and governance.
- Qualifications: 5+ years of CASS experience and strong knowledge of FCA regulations.
The predicted salary is between 60000 - 80000 £ per year.
Investment Firm | London | Permanent | Competitive Package
THE ROLE
- 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 in London 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 Compliance Manager CASS role offers a competitive package alongside opportunities to engage with industry regulators and enhance your expertise in client asset management, all while working in a vibrant city known for its financial innovation.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Manager CASS in London
✨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.
✨Tip Number 2
Prepare for interviews by brushing up on your CASS knowledge. Be ready to discuss specific examples of how you've managed compliance and handled breaches in the past. Show them you’re the expert they need!
✨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 suit you best, and tailor your approach to each company’s culture.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can go a long way. It shows your enthusiasm for the role and keeps you fresh in their minds as they make their decision.
We think you need these skills to ace Compliance Manager CASS in London
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 your skills align with 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 this role. Mention your experience with exchange-traded and cleared derivatives, and how you've successfully managed relationships with auditors and regulators. Let us know why you’re excited about joining our team!
Showcase Your Communication Skills:As a Compliance Manager, excellent communication is key. In your application, make sure to highlight examples where you've effectively managed stakeholders or communicated complex compliance issues. We love seeing candidates who can convey their expertise clearly and confidently!
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. Plus, it’s super easy – just follow the prompts and submit your materials!
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 Stakeholder Management Skills
Since you'll be managing relationships with external auditors and regulators, think of instances where you've effectively communicated with stakeholders. Prepare to share how you navigated complex conversations or resolved conflicts in a professional manner.
✨Demonstrate Your Problem-Solving Abilities
Be ready to talk about how you've handled CASS breaches in the past. Highlight your approach to escalation and resolution, and how you ensured compliance while maintaining operational efficiency.
✨Prepare for Change Management Questions
Given that change management is part of the role, think about times when you've supported risk planning or implemented changes in processes. Be specific about your contributions and the outcomes, as this will show your proactive approach to compliance.
