Head of Safeguarding and Client Assets (Manager level)

TN United Kingdom; London; On-site; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Head of Safeguarding and Client Assets to oversee the design and implementation of safeguarding policies across regulated entities. This role requires a seasoned professional with over 7 years of experience in treasury, finance, or regulatory environments. You will play a critical role in ensuring compliance with safeguarding regulations, managing audits, and enhancing operational processes. If you thrive in a fast-paced environment and possess strong communication skills, this is an exciting opportunity to make a significant impact in a dynamic organization.

Qualifications

• 7+ years of experience in treasury, finance, or regulatory roles.
• Strong understanding of safeguarding customer assets and regulatory frameworks.

Responsibilities

• Contribute to the design and implementation of the Safeguarding Policy Framework.
• Manage and lead safeguarding audits with audit firms and regulators.

Skills

Treasury Management

Regulatory Compliance

Risk Management

Communication Skills

Project Management

Attention to Detail

Change Management

Education

Bachelor's Degree in Finance

Master's Degree in Business Administration

Job description

Social network you want to login/join with:

Head of Safeguarding and Client Assets (Manager level), London

col-narrow-left

Client:

Empirical Search

Location:

London, United Kingdom

Job Category:

Customer Service

-

EU work permit required:

Yes

col-narrow-right

Job Reference:

dacf116f1197

Job Views:

9

Posted:

26.04.2025

Expiry Date:

10.06.2025

col-wide

Job Description:

Role Description

• Responsible for contributing to the design and overall implementation of the Safeguarding Policy Framework across multiple regulated entities
• Develop a regulatory approach across products to provide analysis and enable operational flow of fund models, providing recommendations to meet safeguarding requirements for existing products and new business requirements
• Responsible for oversight of Safeguarding compliance and developing enhancements to manage and remediate breaches, alongside monitoring to satisfy regulatory requirements
• Manage escalations, management information and project updates to Senior Management and committees
• Manage and lead safeguarding related audits working directly with audit firms and regulators, whilst coordinating internally across various departments
• Manage projects to develop and enhance safeguarding related processes and controls with treasury teams to ensure compliance with related policies
• Develop and document Safeguarding Policies to support the framework including including delivery of training materials
• Involvement in wider strategic global expansion and regulatory initiatives within the treasury space

Role Requirements

• 7+ years of either treasury, finance, regulatory or risk related experience
• Strong understanding of protection/custodianship of customer assets and related regulatory frameworks (e.g. EMI/PI Safeguarding, CASS or banking)
• Strong communication and influencing skills with an ability to build and leverage cross-functional relationships internally and externally (e.g. audit firms and regulators)
• Good understanding of treasury concepts within financial services firms such as reconciliations, cash management and FX etc including associated risks and controls
• Experience of working through change and implementing new cross-functional processes
• Attention to detail and proactivity crucial
• Experience of line management and track record of supporting career development within teams
• Forward-thinking, adaptable and thrives in a fast paced environment