Regulatory and Compliance Lead (CASS)

Regulatory and Compliance Lead (CASS Specialist) role available at a leading provider of regulated outsourcing services within the financial services industry. Hybrid role offers flexibility, combining work from clients London office, home, and occasional travel to client sites.

Requirements

• 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.

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