About this role
Role Overview
- Perform and oversee daily CASS 7 and CASS 15 activities, including safeguarding and MiFID compliance
- Execute internal and external reconciliations and ensure accurate daily calculations in line with Client Asset Requirements
- Maintain, refine and enhance safeguarding and CASS processes to meet business and regulatory changes
- Produce, document and maintain regulatory procedures ensuring a robust audit trail
- Deliver timely and accurate regulatory returns across multiple jurisdictions
- Support the development of controls, processes, and documentation around external reporting
- Help identify and implement efficiencies and automation across reporting workflows
- Support external reporting obligations including: Safeguarding and CASS audit requirements, FCA returns related to Payment Institutions, E-Money, and MiFID entities, Gibraltar Financial Services Commission (GFSC) reporting
- Contribute to periodic regulatory reporting packs and ad hoc senior management updates
- Support the Head of Regulatory Reporting in applying the FCA’s CASS Handbook requirements
- Assist in reviewing and updating CASS documentation to reflect regulatory or business changes
- Act as cover for the Head of Regulatory Reporting when required
- Chair the monthly CASS/Safeguarding Working Group
- Prepare monthly updates for ExCo on safeguarding and CASS matters
- Assist in audits of Group entities and prepare relevant policy and procedure disclosures
- Contribute to finance transformation, regulatory change initiatives and wider group projects
- Support automation of regulatory processes and reconciliations
- Provide insight on the impact of new business initiatives on regulatory and financial performance
- Identify trends and underlying drivers affecting regulatory requirements
- Share knowledge and contribute to a collaborative, proactive team culture
- Promote continued improvement and encourage engagement from internal stakeholders
Requirements
- Qualified Accountant with 3+ years PQE
- Advanced Excel skills (formulas, data navigation, data quality)
- A background of working in Product Control or Regulatory Reporting within a Financial Services/Foreign exchange/Investment Bank/Fintech environment (Investment firm and/or E-Money experience a distinct advantage)
- Knowledgeable of the regulatory landscape for an investment firm, payment institutions or E-Money business an advantage (CASS7/CASS 15 rules)
Benefits
- Private medical health insurance