CASS GOVERNANCE jobs in United Kingdom

for Safeguarding and CASS and facing-off to external auditors. Stakeholder reporting - leading the monthly CASS governance committee... with the Client Asset Sourcebook (CASS). Your job will be to ensure our control framework is designed and operating effectively...

monthly CASS governance committee and providing periodic updates to regulatory risk committees. About you Experience... their money, whether it be via Safeguarding or through compliance with the Client Asset Sourcebook (CASS). Your mission Be the...

monthly CASS governance committee and providing periodic updates to regulatory risk committees. About you Experience... their money, whether it be via Safeguarding or through compliance with the Client Asset Sourcebook (CASS). Your mission Be the...

investigation and collation of the Shortfall Management process including MI for CASS Team and senior management. Governance...Looking for a CASS Oversight Specialist & experienced people leader. Please reach out if: - you have 10+ years working...

Job Description We're now looking to recruit a CASS Audit Lead! Reporting to the CASS Manager, the CASS Audit Lead... will be responsible for leading and coordinating external CASS audits. This includes ensuring audits are delivered in accordance with the...

, CASS 7, CASS 8 and CASS 10. Sound FS, including banking, sector understanding of businesses, structures, governance... personalities, characters, and perspectives. There really is a place for you here. Job Description: Our Financial Services CASS...

Governance and Controls Manager This is a great job for someone who is well organised with good time management... about the job: The Strategy, Integration & Governance teams’ primary responsibility is to oversee all aspects of breach...

and be yourself. This is what #LifeAtBNYMellon is all about. We’re seeking a future team member for the role of Governance Associate to join our Global Asset...: Schedule meetings, prepare agendas, reports, presentation materials and minutes to global asset safety-related governance...

experience Governance & Risk Ensure full compliance with internal/external procedures and FCA CASS rules. Identify key risks...

will support the function of the Governance Oversight Team, under the Head of Wealth Advice and Governance, through undertaking... on Financial Planning recommendations and ongoing advice. A good working knowledge of conduct risk matters, Investment governance...

will support the function of the Governance Oversight Team, under the Head of Wealth Advice and Governance, through undertaking... of conduct risk matters, Investment governance arrangements and relevant regulations, particularly (but not limited to) COBS...

to appropriate governance committees and boards Experience across a range of compliance disciplines such as monitoring, governance... handbook such as COBS, COLL, PROD, MAR, SYSC, CASS, SUP and MIFIDPRU. Awareness of EU requirements such as MIFID II, UCITS...

) across the globe. You'll help manage and strengthen the team's approach to managing the regulatory risks, their governance... and CASS. Handle escalations from first line teams in relation to the investment product and prudential management. Assess...

manage and strengthen the team’s approach to managing the regulatory risks, their governance and oversight. In the short... and investment regulatory advisory and policy for our UK investments business. Including IFPR, MIFIDPRU, SYSC 19G and CASS. Handle...

manage and strengthen the team's approach to managing the regulatory risks, their governance and oversight. In the short... and investment regulatory advisory and policy for our UK investments business. Including IFPR, MIFIDPRU, SYSC 19G and CASS. Handle...

and internal ledgers compliant with FCA regulations and Principles; specifically the CASS and SYSC handbooks To provide project... cause, resolution and preventative action Completion of periodic Governance meetings with the Operational Teams to ensure...

enrolments/Leaver processing etc) Adhere to Shareworks' CASS obligations when allocating assets to participants and instructing... control and governance over these processes. Ensure that you and your team adhere to ongoing regulatory obligations...