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Oversight Manager

Search Consultancy
Dunfermline, UK
Closing date
18 Jan 2021

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Job Details

Oversight Manager - up to £35,000
Permanent & Full-Time Role
Remote Working

Search Consultancy are working exclusively with a leading financial investment company to hire an experienced team leader, supervisor or manager to join their business in the newly created Platform Oversight Manager role. This is a pivotal role for the company and the right person will be essential for developing & establishing the Platform & CASS oversight functions.

You'll join a leading & dynamic organisation that operate in a fast-paced environment, an organisation that aim to put the customer at the centre of everything they do. You'll be responsible for managing the oversight team, and you will provide first line of defense by overseeing the activities of both the internal customer services/operations teams and the 3rd party outsourced administration and providing a robust controls framework.

The ideal candidate will have experience in a similar environment, and can demonstrate knowledge of the entire Wrap lifecycle, your attention to detail, and your focus on team development, engagement and motivation.

You'll also need:

* In depth understanding of financial services industry and asset management in pooled nominee model
* Strong communication skills able to effectively communicate complex issues in a non-complex way
* Wrap experience is essential.
* Good knowledge of typical Wrap platform products is highly desirable i.e. ISA & SIPP rules, regulations and reporting requirements
* Effective decision making with the ability to balance customer, business and employee needs based on a thorough understanding of regulatory requirements
* A strategic thinker, with ability to demonstrate effective influencing and negotiation skills at all levels

Some of your daily duties & responsibilities will include:

* Managing an oversight team responsible for the oversight of key outsourced processes/functions relating to the protection of client money and assets.
* Providing guidance and support to the business on regulatory issues in relation to CASS and supporting the development of processes, procedures and controls.
* Responsibility for completing the Company's monthly CMAR returns.
* Ensuring the CASS Resolution Pack is complete and up-to-date.
* Ensuring regulatory compliance in respect of client money and assets by regular process reviews, staff training, regulatory pipeline monitoring.
* Collating monthly Management Information and produce MI pack for review at the Risk Committee and to the Board.
* Conducting analytical reviews of CASS changes, to include impact assessment and leading projects to deliver change through to implementation
* Acting as business lead for both internal and external CASS audits and driving through any changes/improvements identified.
* Reviewing and conducting trend analysis on all client money breaches to identify improvement in controls/processes. Providing feedback to relevant committees and management.
* Owning the firms CASS policy, reviewing annually and ensuring all staff are aware of the policy and have understand the firms approach to CASS.
* Owning relationship with third parties where CASS processes are performed on behalf of the firm i.e. FNZ.
* Providing due diligence support on any new acquisitions where the firm holds client money

In return our client can offer a competitive salary based on skills and experience, 25 days holiday plus 8 public holidays per year, life cover at 4 times your basic salary, 5% company pension contributions, as well as, access to over 1500 offers & discounts.

If you are interested in this position please don't hesitate to apply as applications will be considered upon receipt. Alternatively, if you would like more information on this role or want to have a confidential discussion about your current situation & potential opportunities please feel free to contact Paul Manby directly on

Search is an equal opportunities recruiter and we welcome applications from all suitably skilled or qualified applicants, regardless of their race, sex, disability, religion/beliefs, sexual orientation or age.
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