CASS Compliance Officer- 6 month temp

THE COMPANY:

Our client is a prestigious private wealth firm based in the West End.  They are looking for a CASS Compliance Officer to join the team on a 6-month temporary basis

THE RESPONSIBILITIES:

• Maintenance of CASS risk register, including associated procedures
• Timely and accurate CASS reporting; including CMAR
• Timely and accurate completion of required daily and periodic CASS internal, external, and physical reconciliations.
• Preparation of the daily client money shortfall calculations.
• Liaison with operations and finance on CASS related matters
• Maintenance of reporting timetable and reporting of compliance with submissions
• Timely escalation of CASS or related matters or issues
• Timely resolution of CASS related matters
• Ensure adherence to CASS rules and regulations
• Develop and implement internal controls and procedures to ensure compliance with CASS requirements.
• Regularly review and update existing CASS policies and procedures
• Ensure effective liaison with colleagues including for training purposes.
• Lead on CASS audit
• Understanding and remediating in a timely manner all audit recommendations
• Perform daily, monthly, and periodic reconciliations of client money
• Investigate and resolve discrepancies or variances
• Provide guidance to relevant stakeholders
• Completion of required technical training
• Preparation of CASS Committee MI pack and minutes of meeting.
• General and ongoing enhancement and development of regulatory related controls, processes, and procedures
• Provide and receive cross-training with the Regulatory Reporting Accountant to enable effective and timely substitution as required.

EXPERIENCE REQUIRED:

• Strong CASS technical knowledge and experience as an SME
• Significant experience of developing and leading regulatory / CASS controls and processes
• Detailed knowledge of CASS rules and regulations
• Experience in a CASS-specific role within a financial institution
• Experience of CASS audit work in an accounting firm required, where knowledge and experience of best practice across multiple firms has been obtained.
• Strong understanding of financial products, client money handling, and asset segregation requirements.
• Excellent analytical and problem-solving skills, with meticulous attention to detail.
• Proficient in financial reconciliation processes and working with large datasets.

For further information please contact Natalie Eshelby