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Top Tier Investment Banks seeks a Client Money (CASS) specialist to join their Compliance function. As well as full responsibility for the Compliance departments CASS requirements the successful individual will assist the Head of department with the running of other elements including; FSA registrations, PA dealing and policy work.

• Respond to day-to-day Compliance issues and answer daily queries across asset classes on regulatory issues in the Operations departments, escalate to Compliance senior management as appropriate


• Participate in steering committees and working groups to drive forward an enhanced governance framework with respect to Operations Regulatory activities


• Responsible for reviewing and consulting on the implementation of policies and procedures, and written supervisory procedures for Operations Departments


• Participate in the development and delivery of a comprehensive training program focused on Compliance program core elements to raise awareness to Operations staff and management on the evolving regulatory environment


• Deputise for the Head of Central Compliance who has responsibility for Client Money, PA Dealing, FSA registrations.

Personal Requirements:

• Strong working knowledge of UK and EMEA rules and regulations including but not limited to CASS, MiFID and FSA Transaction Reporting.


• A working knowledge of CASS is essential, knowledge around out-sourcing and the client take-on process would be beneficial.


• Understanding of Middle Office and Back Office Operations functions


• Ability to support point of view when challenged


• Capable of representing and enforcing compliance while considering the needs of the business

To find out more and apply for this role please contact Aaron Bolton on aaron.bolton@blackswangroup.com or 02033016303.

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