Compliance Manager

Compliance Manager

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

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

WHO YOU A...