POSIZIONE CHIUSA
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Descrizione
As Client Assets and Operations Manager you will action CASS related regulatory reporting, driving forward process improvements with required controls, acting as the Client Money Assets subject matter expert for MFM, and ensuring that MFM continues to meet all ongoing FCA CASS requirements. This is a key control and function in the heavily regulated CASS environment helping to ensure we deliver on one of the FCA’s key principles - arranging adequate protection for clients’ assets.
Main Responsibilities:Undertake the roles and responsibilities of the FCA Controlled Functions CF10a (CASS operational oversight function).Take the lead in the relation to CASS aspects of any mergers, acquisitions or new business propositions.Work with the Compliance function to identify all operational risk considerations through in-house and outsourced activities.Work with the Operations function to ensure MFM operational procedures continue to be fit for purpose.On-going CPD (Continuous Professional Development) to ensure that adequate knowledge of the UK CASS regulatory environment is maintained.In regards to CASS operational oversight (CF10a) you will be responsible for:Providing clear, pragmatic guidance and support to the business on regulatory issues in relation to CASS, and regarding regulatory requirements ensuring processes, procedures and controls as required in relation to Client Money and Assets continue to be fit for purpose.Preparing and submitting timely and accurate internal and external reports of the firm’s CASS returns (in particular the firm’s monthly CMAR returns to the FCA in line with regulatory requirements).Ensuring the timely and accurate execution of the daily CASS reconciliation, ensuring all issues and breaches are notified to Senior Management as they occur.Responding to regulatory changes by devising and ensuring the implementation of all internal changes within MFM to ensure MFM continues to be compliant with regulatory standards.Ensuring the CASS Resolution (CASS RP) is complete and up-to-date, to include the effectiveness of the tool under insolvency scenarios.Managing the annual CASS audit process by working with external auditors in order for them to issue an Audit Opinion on the firm to the FCA.Tracking, updating and resolving CASS related audit points.Undertaking root cause analysis associated with potential and actual errors and incidents and leverage lessons learnt to drive change.Managing MFM’s CASS Financial Institution relationships.Ensuring MFM CASS policies and procedures to reflect best practice in line with regulatory requirements.Ensuring (alongside the Head of Compliance) that all MFM staff involved the CASS process receive annual CASS training.Attending and preparing monthly and quarterly reports as required for the MFM Risk Committee and MFM Investment Limited Board meetings.Overseeing the operational effectiveness of the firm’s systems and controls that are designed to achieve compliance with CASS reporting to the firms governing body in respect of that oversight.Project Managing CASS related projects.Requirements:Keen attention to detailAbility to work on own initiativeGood knowledge of Microsoft Excel and WordHigh level of accuracy and numeracyGraduate level of educationGood understanding of FCA CASS rules relating to holding client money and safe custody assets Currently hold CF10a licence
POSIZIONE CHIUSA
Candidati ora
