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Client Assets Compliance officer

  • Location: London
  • Salary: £75,000
  • Job type: Permanent
  • Job reference: NE169144A
  • Sector: Banking , other Financial Services
Job Description

Client Assets Compliance Officer


Broker-Dealer in a large global bank






The UK has undergone significant changes to legislation and regulation in the field of client asset protection and the expectations on firms to comply without failure is high.  In addition, the introduction of enhanced client asset segregation requirements across the rest of Europe, arising from the introduction of MiFID II and has created a very demanding environment in which the need for highly skilled practitioners becomes even greater.  As a UK broker-dealer active across Europe, my client is impacted by the UK’s exit from the EU and must manage the risks created by the transfer of business across a regulatory boundary.


Operating single or consolidated processes across several companies creates benefits and synergies for staff and shareholders, but the regulatory environment requires the demonstration of compliance by each legal entity. Therefore the Office is not only responsible for ensuring the firm operates sound systems and controls to comply with these rules, but it must also disaggregate some of the global and consolidated processes in order to be able to evidence legal entity compliance to the relevant regulator. This role is to support the team responsible for maintaining oversight of entity compliance.


  • Knowledge of FCA CASS regulations and their application, in particular the CMAR and CASS RP.


  • Experience in the field of financial services and/or banking.Knowledge of Prime Services, Listed Derivatives and Markets not essential but an advantage.


  • Experience in oversight and governance of Operations and business process.


  • Familiarity with risk and control assessments of the design and operating effectiveness of controls.


Please contact forward your CV to be considered for this position

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