Purpose of the role:

My client is currently looking for a strong candidate who can act a good bridge between the compliance world and the operational functions of their business. The role comes with a great deal of variety; it requires someone who is a real achiever, likes to lead from the front line and can be highly influential to those around them.

Reporting to the Finance Director, you'll be acting as a key individual to help assure business compliance with the FCA's CASS rules and Financial Reporting Council (FRC) standards. You'll liaise with the operational areas of the business to guide and assist in meeting the CASS rules. You'll drive change to ensure that the processes meet statutory obligations. Further to this you'll provide additional support to the business, conducting assurance activities.

For the right candidate, there is a real chance that this role can be fast tracked into a full CF10a position, so you'll be ambitious within yourself and driven to achieve goals.

Accountabilities and Responsibilities:


  • Process efficiency.
  • Business liaison and audit of compliance with CASS.
  • CASS compliance

Responsibilities: (CASS Oversight)

  • Chair the business forum of CASS compliance that reports into the CASS Committee.
  • Conduct business and product reviews to document flows of client money and assets. Ensure these flow documents are stored centrally and are kept up to date by the business.
  • Co-ordinate and manage the delivery of risk and control assessments for client assets processes, providing appropriate and robust challenges to the business and in accordance with the FRC standards.
  • Co-Ordinate the annual external audit, acting as the businesses principle point of contact with the client money auditors.
  • Provide assurance over "first line of defence" activity and ensure controls and both appropriate and effective, challenging operational areas on the robustness of their procedures/processes.

Responsibilities: (Assurance)

  • Undertake business assurance reviews as agreed with the Client Assets Officer or the committee to test specific areas of compliance.
  • Review of the internal audit and compliance audit reviews. Ensure all actions are properly completed and sample test evidence for completion.
  • Conduct sample checking on the monthly Client Money and Assets Return given to the FCA to ensure submissions are complete and accurate.
  • Support the CF10a in their role of reporting to the firms governing body by preparing regular and ad-hoc reports of oversight and local management information.

The Candidate:

  • Degree Educated or equivalent.
  • Significant operational experience in dealing with CASS related issues, and experience with experience with FCA related issues.
  • Be strong and enthusiastic, with the ability to enthuse those around you. The role is challenging so conflict resolution is a must.
  • Excellent analytical skills, a problem solving nature and good time management skills with the ability to multi task.
  • Strong team builder, you'll be required to liaise with other departments so relationship building is crucial to the success of the role.
  • A "Hands-On" approach to wanting to get the role done.