Espace Recruteurs
Eximius Group

CASS Oversight Officer

Eximius Finance
Londres, Royaume-Uni
Mise en ligne il y a 3 mois Hybride CDI £60000
L
Mise en ligne par
Lee Barnish
Recruiter
My client, a well know CFD Trading platform, are recruiting for a CASS Oversight Officer to join their London office. The Individual will have the 2 Broad Roles 1) CASS Oversight Officer 2) Compliance Officer The key role , however is CASS ---leading onto the Compliance Role ( once bedded in )

CASS Oversight Officer

  1. Reporting to the Head of Compliance and indirectly to the Individual with overall responsibility for CASS (CASS Oversight Manager) within the firm
  2. Assisting with the following CASS Oversight functions:
  • Monthly CASS Oversight Committee
    • Preparing the relevant papers
    • Taking the minutes
    • Preparing and following up on the Committee actions
  • CASS Breaches register
  •  CASS Calendar of events
  • Oversight of the CASS Controls / Control Monitoring
  • Preparing the annual Banking Review to include a) Due diligence b) Acknowledgement letters c) Diversification
  •  CASS Rule Mapping documentation
  •  CASS Resolution Plan
  • CASS training
  • CASS Roles and Responsibilities
  • Preparing the Reporting to the relevant Committees within the Firm
  • Preparing for and liaising (internally and externally) on the CASS annual audit

 

Compliance Officer

  1. Reporting to the Head of Compliance on the UK FCA Regulated Activity. With responsibilities for the following functions :
  • Maintaining and reporting on the FCA Complaints Register
  • Compliance monitoring Programme
  • Compliance control Framework
  • Compliance MI production and maintenance
  • Assisting with the preparation and running of the Monthly Compliance Committee
  • Ad hoc Compliance Projects

 

 

Experience/ Background

 

The following is required:

 

  1. Worked within a CASS Oversight Function or CASS Daily Production function  . 2 to 5 Years
  2. Understanding of the CASS Rules
  3. Compliance or Operational Risk or Operations background
  4. Educated to Degree Level
  5. Financial Services background. Preferably within the Retail Sector and the CFD Industry ( not essential )
Référence  LB320974
À PROPOS DE CETTE ENTREPRISE
London, United Kingdom
Ressources humaines
Eximius Group helps business in the financial services, legal, technology, business support and energy sectors attract the best talent. Eximius Finan...
Plus d'offres de Eximius Finance
Eximius Finance
Compliance Monitoring and Testing Associate
Eximius Finance
London, United Kingdom
il y a 4 jours Full time £60,0000
Eximius Finance
EGR:40035 - IPV/Valuations Tier 1 Investment Banking
Eximius Finance
London, United Kingdom
il y a 3 jours Full time Market Rate
Eximius Finance
Compliance Monitoring and Testing Officer
Eximius Finance
London, United Kingdom
il y a 4 jours Full time £75,000
Eximius Finance
Compliance Associate
Eximius Finance
London, United Kingdom
il y a 4 jours Full time 40k - 50k
Eximius Finance
Implementations/Overlay - Client Associate
Eximius Finance
London, United Kingdom
il y a environ 1 mois Full time £60k - £70k
Eximius Finance
Fund Operations/Oversight -Investment Operations
Eximius Finance
London, United Kingdom
il y a environ 1 mois Full time £55k - £65k
Eximius Finance
Product/NAV Control
Eximius Finance
London, United Kingdom
il y a environ 1 mois Full time £65k - £75k
Eximius Finance
Financial Crime Investigations - AVP
Eximius Finance
London, United Kingdom
il y a 2 mois Full time £50k - £75k
Eximius Finance
Leveraged Finance Analyst
Eximius Finance
London, United Kingdom
il y a 2 mois Full time £60,000
Eximius Finance
Liquidity Risk Analyst
Eximius Finance
London, United Kingdom
il y a 2 mois Full time £75,000
Offres recommandées
MERJE Ltd
Compliance Associate
MERJE Ltd
London, United Kingdom
PER, Private Equity Recruitment
Compliance Manager, Leading Emerging Markets Fund, London, UK
PER, Private Equity Recruitment
London, United Kingdom
Selby Jennings
Head of Compliance
Selby Jennings
London, United Kingdom
Wells Fargo
CASS Assurance
Wells Fargo
London, United Kingdom