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- Location: London
- Job Type: Full-time
Our Banking client is currently seeking a CASS & Regulatory Compliance Officer to join our team. This role involves various duties related to Compliance, assisting the Branch’s Head of Compliance & MLRO in ensuring that the Bank meets its UK legal and regulatory requirements.
Day-to-day of the role:- Assist the Head of Compliance and MLRO in ensuring adherence to CASS rules and regulations.
- Collate data required for the CMAR report on a monthly basis.
- Arrange for appropriate external auditing of client asset arrangements and participate in the CASS Audit selection process.
- Manage the Audit process efficiently and act as the liaison officer between the 1LOD and 2LOD for CASS-related matters.
- Assist in remediating gaps identified in the CASS Audit and report clear, accurate Audit updates to all stakeholders including GM, Committees, HO, and Regulators.
- Draft and review comprehensive policies and procedures for handling client assets.
- Update and manage the CASS Resolution Pack and monitor client money/assets in segregated client accounts.
- Conduct regular internal and external reconciliations as required by CASS regulations and keep detailed records of client assets held.
- Proven experience in a similar role, ideally within a banking or financial services environment.
- Strong understanding of CASS rules and regulations.
- Excellent organisational and data collation skills.
- Ability to manage audits and compliance monitoring programs effectively.
To apply for the CASS & Regulatory Compliance Officer position, please submit your CV and cover letter detailing your relevant experience and why you are interested in this role. Please note, this role is an initial 3 month fixed term contract - candidates must be immediately available to start / short notice period.Â
