We are working with an international retail trading firm on their search for a CASS Manager. The firm have an international footprint with over 1000 employees worldwide.
The Responsibilities
Oversight and approval of daily client money and custody asset reconciliations.
Preparation of monthly CMAR reports.
Ensuring client money and asset procedures comply with CASS and are kept up to date.
Operational adherence to the CASS rules contained within the FCA handbook, update of procedures, breaches tracking, CASS advice to the business
Maintaining the CASS framework policy.
Managing the annual CASS audit and coordinating the responses to auditor findings and the management letter.
Being a member of the CASS committee and setting the tone of the Firm’s compliance with regard to CASS obligations.
Managing CASS impact assessments.
Acting as the liaison between the firm and the regulator on all matters relating to Client Assets and client money.
Assisting with other Global CASS projects.
Your Profile
5+ years CASS experience within a retail investment firm (Ideally a broker)
Knowledge of crypto & CFD’s is highly desirable
Advantageous if previously held the CF10a function.
Ability to commute to London on a weekly basis (Hybrid working)
No sponsorship is available for this role.
For further information please contact Jordan White
