Broadgate have partnered with one of the largest independent Investment Management firm's in the UK (£30m turnover) in West Yorkshire.
The role is for a CASS Oversight Manager and paying £60,000 - £65,000 + bonus
About the Role:
- Lead a small team, whilst acting as the go-to for all CASS matters.
- Identify, review, remediate and mitigate risk events related to CASS.
- Review and challenge the development of existing CASS procedures and controls.
- Identify and present areas of improvement to key stakeholders.
- Experience in a CASS oversight role, ideally within a Wealth/Investment Management environment, or wider Financial Services.
- CASS rulebook experience (6,7,8,9,10)
- Member of a CASS Committee or similar compliance forum.
- Strong FCA regulatory knowledge.
If you would like to apply or have any questions, please reach out to Josh Duggan at Broadgate.