Compliance and CASS Advisor

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Job description

The Central Compliance team is responsible for the provision of advice to the business and other teams within the Compliance function on regulatory and policy matters. They are responsible for policies and frameworks which help ensure business is conducted in a compliant and appropriate manner. Central Compliance has primary responsibility for oversight of communication with the FCA in relation to queries, visits and consultation papers, provision of periodic Compliance reporting to the Board and relevant committees, and the central aspects of regulatory reporting.

Key responsibilities include:

• Assist in the development and delivery of training to the business Assist with the governance of Client Assets (CASS) across all business lines, including monthly Client Money and Assets Return (CMAR) submission
• Collate and publish packs for CASS committee and forum
• Provide advice across the bank on third party management and outsourcing rules applicable
• Monitor regulatory developments via multiple feeds from the FCA, PRA and other UK and international bodies, as relevant
• Assist with running certain Compliance processes, registers and governance frameworks, for example Compliance Breaches Register and framework
• Work on enhancements to existing Compliance systems and processes, as required

Knowledge and Experience

• Strong Technical Regulatory skills with good general knowledge of the FCA and PRA rules, specifically CASS, SYSC, Outsourcing (desirable)
• Knowledge of Senior Manager and Certification Regime (desirable)
• Ability to stay on top of rapidly changing regulation and quickly interpret and advise (compulsory)
• Understanding of general Banking, Investment Banking and Capital Market products and regulations and trading operations (desirable)
• Extensive relevant experience within the Financial Services Industry