Due to increasing demand for mid to senior level professionals within our client's Client Asset (CASS) regulation team, we have a number of openings to discuss. If you have gained experience within CASS in industry or consultancy, we are keen to hear from you. This is an opportunity to work with some of the most prestigious names in the investment banking and assent management sector and be involved in a range of work whether remediation, BAU, general compliance or regulatory transformation - all within CASS.
Responsibilities include:
- Advising on CASS compliance
- S166 reviews of Client Assets
- Assisting clients with governance and operational structures for new business lines to ensure they are CASS compliant
- ARROW visit and CF10a interview preparation
- Thorough walkthroughs of investment businesses to identify gaps in CASS compliance
- Supporting statutory audit teams
- Training clients CF10a and other operational staff on CASS compliance
Skills and experience required:
- Practical CASS experience
- Knowledge of investment banking required
- Ability to communicate technical rules clearly
- Experience with Shadow S116 and S116 reviews, ARROW visits and CF10a interviews
- Professional presentation skills
- Client centric approach and strong communication skills are essential
