Drive regulatory governance and reporting as a Client Money & Assets Specialist in a dynamic, collaborative team.

 

Join our team as a Client Money and Assets Specialist and play a pivotal role in shaping regulatory governance and reporting. You will have the opportunity to make a meaningful impact, develop your expertise, and advance your career in a specialized and evolving field. We value your curiosity, attention to detail, and passion for driving change. 

As a Client Money and Assets Senior Associate in the CASS Oversight team within the International Private Bank, you will help maintain compliance with the FCA’s Client Asset Sourcebook and support our strategy for client asset protection. You will work closely with teams across multiple locations, leveraging your analytical skills to deliver best practices and ensure robust controls. Your role will be central to safeguarding client assets and supporting regulatory requirements. You will collaborate with stakeholders to drive improvements and deliver high-impact results. This is an opportunity to contribute to a culture of excellence and innovation.

Job Responsibilities 

Support the certified individual responsible for CASS operational oversight and EMEA custody regulation functionsCollaborate with the Edinburgh CASS Oversight Team to maintain and enhance client asset controlsDevelop and support the Client Assets Risk FrameworkCoordinate internal and external audits of Client Asset processes, including annual CASS auditsReview and escalate regulatory breaches, drive corrective actions, and ensure successful remediationReview and sign off on monthly Client Money and Asset Return (CMAR)Prepare and deliver management information on the Client Assets control framework to senior stakeholdersDesign and coordinate CASS training for Business, Technology, and Operations staffAssess new business initiatives for potential CASS impactWork with stakeholders across Edinburgh, London, Frankfurt, Geneva, and Bangalore

Partner with Operations, Compliance, Controls, Projects, and Governance teams to deliver results

 

Required Qualifications, Capabilities, and Skills

Knowledge of Client Money & Assets requirements and MiFID II regulationExperience in a regulatory function or with the FRC’s Client Asset Assurance StandardAbility to create a vision and actionable roadmap for ongoing innovationExperience designing and delivering training programsFamiliarity with audit processes and regulatory reportingExperience working in a global, cross-functional team environmentStrong stakeholder management skillsSelf-motivated with the ability to work independentlyStrong execution skills and ability to deliver exceptional resultsAnalytical mindset with the ability to review and challenge regulatory scenariosExperience working with large data sets to identify trends and provide reporting