Compliance Manager CASS

Compliance Manager CASS

Investment Firm | London | Permanent | Competitive Package

THE ROLE

Own the design, operation, and oversight of all Client Assets (CASS) arrangements for a regulated investment firm. You'll be the firm's CASS expert — ensuring full FCA compliance while managing daily operations, vendor relationships, and regulatory engagement.

WHAT YOU'LL DO

1. Design and maintain CASS governance framework (policies, procedures, controls)
2. Oversee daily client money calculations and reconciliations
3. Manage CASS breaches and escalate to FCA when needed
4. Act as point of contact for external auditors and FCA supervisors
5. Ensure the firm can demonstrate full compliance at all times
6. Manage third-party relationships (clearing banks, custodians, LME Clear)
7. Support change management and risk planning

WHO YOU ARE

1. 5+ years CASS experience
2. Deep knowledge of FCA CASS rules and MIFIDPRU firms
3. Experience with exchange-traded and cleared derivatives
4. Proven engagement with auditors and regulators
5. Strong documentation, evidencing, and audit skills
6. Excellent communication and stakeholder management