CASS Compliance Lead: Client Money & Custody

Saxton Leigh; Greater London; In loco; GBP 70.000 - 100.000; Tempo pieno

Descrizione del lavoro

Saxton Leigh is seeking a CASS Specialist to join its Operations team, reporting to the COO. The role focuses on implementing and embedding CASS requirements across the business while supporting growth.

Responsibilities include maintaining CASS 6/7/10 controls, conducting audits, and delivering training. The candidate should have experience in broker-dealer or asset manager settings and a strong grasp of UK regulatory requirements.

Competenze

• Several years’ relevant experience in a CASS-focused compliance, internal audit or operations role within a broker-dealer, investment bank or asset manager.
• Strong working knowledge of CASS 6, CASS 7 and CASS 10, and related FCA Handbook provisions.
• Experience with client money/custody asset reconciliation processes and controls.

Mansioni

• Own day-to-day compliance with CASS 6 (custody assets) and CASS 7 (client money).
• Design, implement and monitor systems and controls for client money/custody asset segregation, reconciliation and record-keeping.
• Act as primary liaison for the annual CASS audit under SUP 3.10, coordinating auditor requests and remediating findings.
• Maintain and update the CASS Resolution Pack (CASS 10).
• Deliver CASS training to front-office, operations and support functions.
• Prepare CASS-related MI and reporting for senior management and governance committees.

Conoscenze

CASS knowledge

Audit/Compliance

Regulatory reporting

Process improvement

Stakeholder management

Descrizione del lavoro

Saxton Leigh is seeking a CASS Specialist to join its Operations team, reporting to the COO. The role focuses on implementing and embedding CASS requirements across the business while supporting growth.

Responsibilities include maintaining CASS 6/7/10 controls, conducting audits, and delivering training. The candidate should have experience in broker-dealer or asset manager settings and a strong grasp of UK regulatory requirements.