Regulatory Senior Manager CASS

SJC Partners
14 Apr 2018
17 May 2018
Contract Type
Full Time

As a result of a sustained and continuous period of growth, our client, an award-winning BIG 4 firm, is looking to strengthen its Regulatory team with a highly accomplished Senior Manager. The team provides regulatory advisory services to assist leading organisations in the Investment Management sector.

Key responsibilities will include:

  • Delivering client engagements, leading medium sized teams and providing input to larger, multi-disciplinary teams.
  • Delivering Section 166 reviews and reporting to the FCA as part of a wider team.
  • Providing clients with assurance over their arrangements for producing, validating, and submitting monthly regulatory returns in respect of client assets.
  • Advising and assisting clients with implementation of systems and processes to comply with both current and potential changes to the client asset rules.
  • Advising clients on CASS issues and providing assurance over existing processes.
  • Advising clients on the development, implementation and/or effectiveness of client asset governance structures.
  • Taking a leading role in the identification of business development opportunities and the preparation of client proposals. This contributing to the overall departmental sales targets.
  • Mentoring and coaching less experienced team members, including oversight and business planning.

Applicants should have strong knowledge of regulatory rules and guidance but crucially obtain practical application within the Investment Management industry, possess a strong record of regulatory project delivery and really understand regulatory developments and key current issues facing clients. You will also have significant and relevant financial services experience with a focus on the FCA's Client Assets Sourcebook.

This role represents a highly sought after consulting role with a competitive salary and benefits package.

This recruitment process will be managed by SJC Partners, a market leading recruitment specialist.

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