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Client Money Officer CF10a

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Client Money Officer CF10a

  • Location:

    London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Salary:

    £80000 - £100000 per annum

  • Contact:

    Reece Pawsey

  • Contact email:

    reece@fintop.co.uk

  • Contact phone:

    0203 399 8444

  • Job ref:

    V-32457

  • Published:

    about 1 month ago

  • Expiry date:

    2046-12-07

  • Startdate:

    2019-07-22

My client is a multi-award-winning financial services firm that provides prime brokerage, execution and clearing services to hedge funds,  asset managers, family offices and pro traders. 

Key Responsibilities:

  • Manage on-going adherence to the CASS rules in the capacity of FCA Client Asset Oversight Function (CF10a/SMF22)
  • Responsible for the timely and accurate completion of CASS related regulatory reporting (e.g. Client Money and Asset Return) to the regulator and act as the principal liaison between the firm and the FCA on all matters relating to CASS
  • Work with key stakeholders as required on CASS matters
  • Construct and implement updated CASS-related policies
  • Ensure that you are continuously up to date  with the regulation and industry best practices as they pertain to CASS and CASS compliance
  • Take responsibility for the annual audit and co-ordinate responses to auditor findings
  • Lead the Brokerage CASS Committee and develop a compliance culture regarding the firm’s compliance with CASS obligations
  • Report to senior management to ensure that they are fully appraised of CASS compliance and CASS related issues
Education and Experience

  • Degree educated with up to date training and proven track record of CASS projects
  • Working knowledge of CASS
  • Current or previous CF10a 
  • Background in UK compliance and/or UK financial regulation  
  • Experience presenting complex and technical issues to senior management
  • Excellent attention to detail
  • Excellent written and verbal communication skills
  • Ability to prioritize tasks and produce a long-term plan