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K-People Europe is a London based recruitment consultancy and we’ve been recruiting top talents for our clients in UK & Europe since 2007.
Our client, a reputable international bank located in the heart of City of London, is looking for a CASS & Regulatory Compliance Officer.
[Purpose of the Job]
The role will include various duties in relation to Compliance. The role will assist the bank’s Head of Compliance & MLRO in ensuring that the bank meets its UK legal and regulatory requirements.
[Key Responsibilities](1) Assist Head of Compliance and MLRO in ensuring the bank adheres to CASS rules and regulations.
(2) Collate the data required for CMAR report on a monthly basis.
(3) Assist Head of Compliance and MLRO in arranging for appropriate external auditing of client asset arrangements on an ongoing basis.
(4) Participate in the CASS Audit selection process and assist Head of Compliance and MLRO in managing the Audit efficiently.
(5) Be the liaison officer between the 1LOD and 2LOD for CASS related matter, including collating the data required for Independent Audit.
(6) Upon completion of CASS Audit, assist the Head of Compliance and MLRO in remediating the gaps identified in the CASS Audit.
(7) Assist the Head of Compliance in reporting clear and accurate Audit updates to all stake holders (GM, Committees, HO and Regulators).
(8) Assist Head of Compliance & MLRO in drafting and reviewing a comprehensive policies and procedures for handling client assets in place
(9) Responsible for updating and managing CASS Resolution Pack
(10) Monitor the client money/assets in segregated client accounts and conduct regular internal and external reconciliations as required by the CASS regulations
(11) Keep detailed records of client assets held (including regular reconciliation and reporting client assets held to the FCA)
(12) Making sure that legal title to safe custody or collateral assets is recorded properly.
(13) Oversee the provision of periodic statements to customers showing client assets held on their behalf
(14) Assist the Head of Compliance and MLRO in delivering CASS and other HO required trainings on an ongoing basis
(15) Generating the HO required Periodic Reports and liaison with HO for delivering periodic reports and updates.
(16) Where required engage with Compliance team to meet any deadlines and assist Head of Compliance & MLRO in discharging her responsibility effectively.
(17) Conduct testing and review of samples for Compliance Monitoring Program and report the result to Head of Compliance and MLRO on a regular basis.
(18) Any other responsibilities as allocated by the line manager.
[Requirements](1) Must be fluent in English
(2) Must have minimum 3 years’ compliance & CASS experience within UK financial industry
(3) Strong attention to details and accuracy
(4) Excellent communication & interpersonal skills to liaise with other departments & solve the issues related with various business functions
(5) Excellent MS Office skills
[Conditions](1) Job type: 3 month contract (subject to be extended or become permanent)
(2) Location: City of London
(3) Working hours: 8:30am~4:30pm
(4) Basic salary: 50~70K (pro-rata, depending on experience)
[Before you apply](1) The right candidate must be eligible to work full-time in UK immediately without any visa restriction. If you’re on any visa permitting full-time work in UK, please indicate your visa status in your CV and when it expires.
(2) Please send your CV in MS Word format
(3) ONLY right candidates will be contacted, and if your application is successful, we’ll contact you within 5 working days.
