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- Tasks: Lead compliance initiatives and provide expert advice on CASS regulations.
- Company: Join a leading provider of regulated outsourcing services in the financial sector.
- Benefits: Enjoy a competitive salary, hybrid work options, and professional development opportunities.
- Why this job: Be part of a dynamic team making a real impact in regulatory compliance.
- Qualifications: Must have compliance certification and strong CASS expertise.
- Other info: Diversity and inclusion are at the heart of our client's workplace culture.
The predicted salary is between 72000 - 84000 £ per year.
Regulatory and Compliance Lead (CASS Specialist)
Location : London (Hybrid – Office, Home, and Occasional Client Site Travel)Salary : £90-100k with Generous Benefits Package
About the Opportunity
RGH Global is excited to partner with our client, a leading provider of regulated outsourcing services within the financial services industry, to recruit a Regulatory and Compliance Lead with CASS Specialism . This is a fantastic opportunity for an experienced compliance professional to join a dynamic organization, delivering exceptional service to clients and driving strategic compliance initiatives.As the first point of contact for clients and beneficiaries, you will play a pivotal role in ensuring regulatory compliance, with a focus on Client Assets Sourcebook (CASS) requirements, while supporting broader compliance objectives. This hybrid role offers flexibility, combining work from our client’s London office, home, and occasional travel to client sites.
Your Benefits
- Competitive salary and comprehensive benefits package.
- Opportunities for training and professional development to enhance your skills.
- A supportive, inclusive workplace committed to diversity, equality, and positive change.
Role Summary
As a Regulatory and Compliance Lead (CASS Specialist) , you will provide second-line compliance support, acting as a strategic partner to business leaders to align regulatory and compliance initiatives (including Consumer Duty) with organizational goals. This role combines strategic oversight with hands-on compliance advisory and operational responsibilities. You will leverage your CASS expertise and regulatory knowledge to manage compliance matters, guide stakeholders, and foster a culture of compliance excellence.
Key Responsibilities
- Develop and maintain a comprehensive understanding of relevant laws, regulations, and internal policies.
- Provide expert advice on CASS, including client money and assets, CASS Resolution Pack (CASS RP), and Client Money and Assets Report (CMAR).
- Offer guidance to business units on compliance matters and conduct risk-based compliance reviews.
- Design and deliver compliance training programs to educate employees on regulations and policies.
- Monitor and enhance the effectiveness of compliance training initiatives.
- Collaborate with internal teams (e.g., quality assurance, risk management, internal audit) for a coordinated compliance approach.
- Investigate and respond to compliance-related inquiries from regulators, clients, and employees.
- Support the Senior Managers and Certification Regime (SMCR) by assisting with FCA Connect forms and Directory Persons submissions.
- Prepare and submit regulatory reports and filings.
- Keep management informed of significant compliance issues and emerging risks.
- Contribute to compliance governance reporting and management information (MI) for board reports.
- Stay informed about industry trends and participate in relevant forums.
- Manage compliance support staff as needed.
Required Skills and Qualifications
- Certified professional in compliance or risk management.
- Strong CASS expertise, including client money/assets, CASS RP, and CMAR.
- Proven experience in a second-line compliance role within financial services.
- Working knowledge of the FCA Handbook.
- Excellent analytical and problem-solving skills to identify and mitigate compliance risks.
- Strong communication and interpersonal skills to convey complex compliance issues to non-specialists.
- Ability to work independently and collaboratively in a fast-paced, deadline-driven environment.
- Exceptional attention to detail and organizational skills.
- Proficiency in drafting compliance oversight reports and delivering face-to-face training.
- Ability to analyze FCA returns for consistency with prior submissions.
- Self-motivated with strong IT skills, particularly in Microsoft Excel and Office applications.
Desirable Skills
- Experience with compliance monitoring tools and software.
- Strong decision-making skills under pressure.
- Knowledge of insurance industry practices and procedures.
Equal Opportunities
Our client is committed to fostering a diverse and inclusive workplace, promoting positive change and equality. Applications from all backgrounds are warmly welcomed.
How to Apply
If you’re a compliance professional with a strong CASS background and a passion for driving regulatory excellence, we’d love to hear from you! Please submit your CV and a cover letter to RGH Global via our application portal or contact our team for more details.Join a forward-thinking organization and make a meaningful impact in the financial services industry! #J-18808-Ljbffr
Regulatory and Compliance Lead (CASS) employer: RGH-Global Ltd
Contact Detail:
RGH-Global Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory and Compliance Lead (CASS)
✨Tip Number 1
Familiarise yourself with the latest CASS regulations and guidelines. Understanding the nuances of the Client Assets Sourcebook will not only help you in interviews but also demonstrate your commitment to compliance excellence.
✨Tip Number 2
Network with professionals in the regulatory and compliance field, especially those with CASS expertise. Attend industry events or webinars to connect with potential colleagues and learn about current trends and challenges in compliance.
✨Tip Number 3
Prepare to discuss real-world compliance scenarios during your interview. Think of examples where you've successfully navigated compliance challenges, particularly related to client money and assets, to showcase your problem-solving skills.
✨Tip Number 4
Research RGH Global and their clients to understand their compliance culture and values. Tailoring your conversation to align with their mission can set you apart as a candidate who is genuinely interested in contributing to their goals.
We think you need these skills to ace Regulatory and Compliance Lead (CASS)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance and CASS specifically. Use keywords from the job description to demonstrate that you meet the required skills and qualifications.
Craft a Compelling Cover Letter: In your cover letter, explain why you are passionate about regulatory compliance and how your background aligns with the role. Mention specific examples of your experience with CASS and how you've contributed to compliance initiatives in previous roles.
Showcase Your Expertise: Emphasise your certifications and any relevant training in compliance or risk management. Highlight your analytical skills and ability to communicate complex compliance issues clearly, as these are crucial for the role.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any spelling or grammatical errors. A polished application reflects your attention to detail, which is essential in compliance roles.
How to prepare for a job interview at RGH-Global Ltd
✨Know Your CASS Inside Out
Make sure you have a solid understanding of the Client Assets Sourcebook (CASS) requirements. Be prepared to discuss specific regulations and how they apply to the role, as this will demonstrate your expertise and readiness for the position.
✨Showcase Your Compliance Experience
Highlight your previous experience in compliance roles, especially within financial services. Be ready to provide examples of how you've successfully navigated compliance challenges and contributed to regulatory initiatives in past positions.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills and ability to handle compliance issues. Think through potential compliance dilemmas you might face in the role and how you would approach them strategically.
✨Demonstrate Strong Communication Skills
As a Regulatory and Compliance Lead, you'll need to convey complex compliance issues clearly. Practice explaining intricate concepts in simple terms, as this will be crucial when interacting with non-specialists and stakeholders.
