CASS GOVERNANCE jobs in UNITED KINGDOM, 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...

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...

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...

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...

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...

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...

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

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...