CF10a Treasury & CASS Officer
£90,000 - £100,000 + Bonus + Benefits
London: City Location

The Company
The company is an expanding, full service regulated commodities brokerage and financial services group with a truly global presence. They have a strong, long term presence and attachment to London. They now have a newly created role requiring a strong leader who has excellent experience and knowledge of FCA CASS regulation and is able to effectively streamline complex processes and implement a robust control environment.

The Role
Your role will be primarily responsible for ensuring that the business is fully compliant with FCA CASS regulations, other relevant regulations and internal policies. This role will be tasked with leading the Treasury team, overseeing the required CASS related regulatory reporting, driving forward process improvements with required controls and acting as the Client Money Assets subject matter expert for the company). This role requires a strong leader who has excellent experience and knowledge of FCA CASS regulation and is able to effectively streamline complex processes and implement a robust control environment. Working as part of the Treasury team with the responsibility to:

  • Assume the responsibilities of the CF10a
  • Develop and document Treasury systems and controls
  • Liaise with other internal entities on Treasury and CASS matters
  • Oversee responsibility for regular updates of the CASS RMF document
  • SME and point of contact and escalation for client asset related items
  • Work closely and pro-actively maintaining and developing relationships with Risk team and the Chief Risk Officer
  • Coordinate collation, quality assurance and production of the monthly CASS Management Information Pack for Senior Management
  • Coordinate collation, quality assurance and production of the monthly CMAR regulatory filing
  • Carrying out spot checks and audits on the calculation to ensure that correct determination methodology has taken place
  • Provide appropriate challenge to the business units providing the underlying data to ensure accuracy
  • Manage the ongoing maintenance of the CASS Resolution Packs (CASS RP) including the monthly/quarterly oversight reporting and documentation of any findings
  • Responding to regulatory changes by devising and ensuring implementation of all internal changes within ADMISI required to be compliant with regulatory standards
  • Participate in quality assurance testing across all CASS related areas of the company
  • Root cause analysis associated with potential and actual errors & incidents and leverage lessons learnt to drive change
  • Driving and delivering CASS Policy changes
  • Track and update any related reporting issues and risks
  • Establish strong working relationships with all areas that contribute to the monthly CASS reporting processes
  • Prepare CASS reports as required for quarterly Board Meetings

Who They Are Looking For
To be considered for this role it is imperative that you meet the following criteria:

  • 5-10 years' experience in roles within a financial services environment;
  • Holds either CF10a, or can demonstrate capacity for that controlled function;
  • Thorough knowledge and experience of CASS operational practices gained through experience in similar role within a major company in the same business sector or consultancy or Top 6 firm of accountants;
  • In depth knowledge of FCA CASS regulations and good knowledge of Derivatives and Securities products;
  • Strong investigatory abilities and mind-set and strong quantitative, analytical and communication skills
  • Proven track record in process reengineering and improvement and ability to prioritise, be flexible and respond to changing environments.