CASS Oversight and Compliance Support Officer - Private Equity Backed Brokerage
1 day left
- Full Time
I am currently working with an exciting, boutique retail brokerage firm based in the City. They have recently been acquired by a Private Equity group and so have a newfound and exciting business plan which has given the firm focus and drive to move forward aggressively. You will be joining a tight-knit team and working alongside a very experienced Head of Compliance. This really is an amazing opportunity to join a firm with little to no bureaucracy and somewhere that you can make a real difference from day one.
You will have ultimate oversight for the firm’s CASS risk and control framework and will have to ensure that they remain consistently compliant. You will have full ownership of the firm’s client money reconciliations and be responsible for overseeing the firm’s annual CASS Audit. You will also have wider Compliance responsibilities as requested and will have the opportunity to develop your own projects based on how you want the role to evolve.
You will have excellent knowledge of CASS rules and regulations and you will have previous experience in a CASS focussed role in a financial services firm and ideally from a retail brokerage firm (not essential). You will have "hands on" and "no nonsense" style of working and will have the ability to liaise with high level stakeholders. This is an amazing opportunity to gain wider experience, beyond CASS. The salary on offer is circa £80k plus excellent benefits. There may be some flexibility for the right candidate. All CVs and enquiries to James Boxall at Austin Andrew.