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Compliance Officer – CASS

  • London
  • £80,000 - £100,000

Our client is a leading Wealth Manager with offices in London, who are looking to hire a motivated Compliance Office – CASS.

This is a contract role lasting between 6 and 12 months.

The role responsibilities include but are not limited to:

  • Adherence to CASS rules outlined within the FCA handbook
  • Oversight of the external CASS Audit
  • Performing ongoing CASS Monitoring and Testing
  • Gap Analysis of new FCA and EU regulatory rules
  • Design and completion of testing reviews (CMPTP)
  • Frequent Horizon scanning
  • Engaging in various compliance monitoring reviews
  • Monitoring and testing of regulatory risk and AML rules

 

Please contact me further for additional information and the full job description!

 

 

 

We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.

Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.

Michael Cunningham – Compliance / Legal

Executive Consultant

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