Compliance Manager

Role Purpose:

The primary purpose of this role is to support the oversight and control of the Client Assets Sourcebook (CASS) framework for CIB2S in the UK. The role ensures that the Securities Services business operates in a secure, compliant environment by maintaining high standards of CASS-compliant procedures and mitigating the risk of non-compliance with UK regulatory requirements.

Key Responsibilities:

• Provide day-to-day support in the oversight of CASS compliance across the UK Securities Services business.
• Collaborate with business units to ensure a clear understanding of the scope and application of CASS regulations.
• Deliver and coordinate appropriate CASS training to relevant stakeholders.
• Identify, assess, and manage actual or potential CASS risks, ensuring timely resolution and escalation where necessary.
• Support the proactive management and coordination of the annual external CASS audit, ensuring readiness and full cooperation with auditors.
• Monitor and enhance internal controls to ensure ongoing compliance with CASS requirements.
• Contribute to the development and implementation of CASS-related policies, procedures, and governance frameworks.
• Maintain up-to-date knowledge of regulatory developments and industry best practices related to CASS.

Key Skills & Experience:

• Strong understanding of the UK CASS regulatory framework and its application within financial services.
• Experience in compliance, risk management, or audit within a securities services or investment banking environment.
• Proven ability to interpret and apply regulatory requirements in a business context.
• Excellent communication and stakeholder management skills.
• Strong analytical and problem-solving capabilities.
• Experience managing or supporting external audits is desirable.

If you think the above aligns with your recent experience, please submit CV for consideration.

Carbon60, Lorien & SRG - The Impellam Group STEM Portfolio are acting as an Employment Business in relation to this vacancy.