Regulatory and Compliance Lead (CASS)

RGH-Global Ltd; City Of London; Hybrid; GBP 79,000 - 94,000; Full time

Job summary

A leading provider of regulated outsourcing services in London seeks a Regulatory and Compliance Lead (CASS Specialist) to ensure compliance with CASS requirements. In this hybrid role, you will advise business leaders, manage compliance matters, and contribute to compliance training initiatives. Ideal candidates will have a strong compliance background and excellent analytical skills.

Benefits

Generous benefits package

Opportunities for training and professional development

Supportive, inclusive workplace

Qualifications

• Proven experience in a second-line compliance role within financial services.
• Strong communication and interpersonal skills.
• Ability to work independently and collaboratively.

Responsibilities

• Manage compliance matters related to Client Assets Sourcebook (CASS) requirements.
• Provide guidance on compliance matters to business units.
• Conduct risk-based compliance reviews.

Skills

CASS expertise

Analytical skills

Communication skills

Problem-solving skills

IT skills

Education

Certified professional in compliance or risk management

Tools

Microsoft Excel

Compliance monitoring tools

Job description

Regulatory and Compliance Lead (CASS Specialist)

Location: London (Hybrid – Office, Home, and Occasional Client Site Travel)

Salary: £79,000-£94,000 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!