Description
Compliance Manager - CASS, CF10a - Trading
Compliance Manager - CASS, CF10a is needed on a contract basis for a leading Financial Services company based in London. The Compliance Manager will have extensive experience with Client Assets, Transaction Reporting issues, CASS and CF10a. This knowledge must have been gained working for a Trading organisation or Wealth Management company.
The compliance manger will be responsible to make sure the business understands the compliance environment, understand the regulatory risks and mitigating actions that banks and stockbrokers face such as legislation from PRA and FCA.
This role will involve day to day management of a small compliance team as well as the main responsibilities of looking at Compliance for Client Money and Client Assets. Knowledge of CF10a is essential. Candidates must be available immediately for this contract.
This is an excellent opportunity to join a leading trading organisation and be involved in an exciting project.
- CASS
- CF10a
- Transaction Reporting issues.
- Management of the compliance team.
Compliance Manager - CASS, CF10a - Trading