Cass Compliance Officer- 6 Month Ftc - London, United Kingdom - Compliance Professionals

Compliance Professionals

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

THE COMPANY:

Our client is a prestigious private wealth firm based in the West End. They are looking for a CASS Compliance Officer to join the team on a 6-month FTC basis.

THE RESPONSIBILITIES:

Operational adherence to the CASS rules contained within the FCA handbook, update of procedures, breaches tracking, CASS advice to the business
Overseeing the annual external CASS audit and being one of the primary points of contact for requests and queries
Performing ongoing and semi regular CASS monitoring and testing
Performing Gap analysis on new FCA and EU regulatory rules, identifying gaps and following up to ensure integration of new rules into processes and procedures where required.
The end to end design, completion and delivery of CMTP testing reviews, involving horizon scanning and gap analysis vs regulatory requirements through to completion of tests and the drafting of results and review write ups.
The completion of various compliance monitoring work under the CMTP which could include onboarding reviews, negative news alert closures, review and closure of daily Market Abuse and Transaction Monitoring alerts working closely with the Front Office to ensure timely closure.
Managing the completion of multiple simultaneous reviews where required
Tracking and taking forward actions that result from the completion and delivery of CMTP reviews.
Assist in monitoring, testing and assessing the adequacy and effectiveness of the measures and compliance procedures put in place relating to overall compliance and regulatory risk and AML risk
Ensuring the Head of Monitoring & Testing is regularly advised regarding the results of monitoring and testing.
Investigate and report upon breaches of regulations and assist with remedial action
Assist with ensuring that compliance related Directives, Policies & Procedures remain up to date
Assist staff with interpretation of rules and assist in development of a positive compliance culture
Assist in maintaining standards of regulatory risk management through an effective process of risk identification, assessment and mitigation

EXPERIENCE REQUIRED:

Several years experience working in a financial services industry in a CASS related role.
Experience covering covering monitoring of Private Banking (including transactions), Investment Management, Trading for all clients.
Experience of producing compliance risk assessments and CMTPs.
Proven track record of report writing on the results of compliance monitoring and testing.
In addition to Word and Excel, good experience of working with a variety of internal support bespoke systems.

For further information please contact Natalie Eshelby

Location:

London

Specialism:
Monitoring

Salary:

£ Competitive salary

Type:
Contract

Reference:
18639