CASS GOVERNANCE jobs in LONDON, 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...

Required: Extensive knowledge and experience of CASS governance (CASS 6 & 7) in a similar financial services/securities institution... is also available due to an internal promotion. The ideal candidate will have several years of experience in a CASS Oversight function...

, including awareness of Client Asset regulations ('CASS'). Responsibilities include: Support the day to day activities... Risk Framework and a continuing risk-aware culture, including awareness of Client Asset regulations ('CASS'). Monitor...

Job Description: We have an exciting role for a CASS Operations Oversight Senior Analyst to join a leading financial..., monitoring of third parties and high-quality reporting to the firm's governance. Essential Skills/Experience: Extensive...

reconciliations (CASS) Identifying and managing risks in relation to the management of client assets Identify, document and escalate... CASS breaches, collaborate with wider business to implement preventative controls Remaining up to date with industry...

and MI in relation to compliance activities to governance committees/bodies as required. Provide compliance CASS oversight... to product governance, engagement with product teams, regulatory projects, operational change and oversight of financial...

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...

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...

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...

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...

, governance structures, CASS / Safeguarding footprints, and providing recommendations to senior stakeholders on gaps... statement audit teams to perform CASS and Safeguarding audits; Providing practical, yet technical, SME input on the...

and directors on the governance and controls around processes that do not impact the financial statements. To date, our Insurance... - Underwriting & Pricing, Product Development and Governance, Underwriting Operations, Policy Operations, Claims Processing...