£55000 - £60000 + bonus + benefits
Who they are
They are a leading independently owned providers of investment management, and financial advisory services to private clients, corporates, and non-profit organisations. They provide an innovative global service via there international capability in over 100 countries. They employ circa 1500 people and have many offices in the UK and have AUM of over £15 billion.
This is a new role and arises due to the expansion of business and commitment to regulation. Reporting to the Deputy CF10 you will be a key part of the group's day to day responsibilities for ensuring the regulated entities are compliant with the FCA's CASS regulations. The role will provide exposure to the various different parts of the group and senior management at both the office in London and in Scotland. The internal review programme set by the aims to ensure each group company is subject to at least one detailed review of internal controls covering the applicable requirements of the CASS. The annual CASS monitoring programme covers Private Bank & Custodian, ACD/Transfer Agent and the intermediary broker. You would also have responsibility for collating monthly M.I., drafting senior management level reports and ensuring the CF10a and Deputy CF10a is updated on current developments, projects, actions and CASS breaches. You will develop and maintain relationships with a wide network e.g. front office, middle office, finance and legal and compliance. Key responsibilities include:
- Acting as point of contact for CASS queries and requests for information;
- Drafting monthly MI for Board and senior management meetings;
- Being secretary of the monthly CASS Oversight Committee and collating information to be distributed to members;
- Assisting the Deputy CF10a in the delivering the annual CASS training to the group and Board members;
- Performing initial reviews of the monthly CMAR returns and ensuring the delivery of information to agreed timetables;
- Keeping and performing periodic reviews of the CASS Resolution packs;
- Monitoring open actions and working with senior managers of departments to ensure actions are addressed in a timely manner;
- As part of the internal monitoring the individual will be required to assist the Deputy CF10a in project managing the annual monitoring programme - requesting information, diarising meetings and follow up discussions; preparing working papers for work to be performed; assisting the Deputy CF10a in completing the reviews; and documenting findings and drafting reports for management.
- Assist the Deputy CF10a in root cause analysis of CASS breaches/ incidents.
Who they are looking for
In order to be considered for this role, you must meet the following criteria:
- Recently qualified accountant or equivalent (0-2 years) who has external audit, internal audit or advisory role experience in the Financial Services sector.
- Basic understanding of CASS and a strong interest in Financial Services.
- Willing to travel to Scottish office four days per month.
- Be able to demonstrate the ability to plan and project manage multiple projects.
- Be able to demonstrate the ability to analyse key data and trends.
- Writing and reporting skills for reports to senior management.
- Presenting and communicating information.
- Decision making, initiating action and proactively delivering results.
- Adapting and responding to change.