London, GB,

Finance,

Full-Time

For more information visit www.marex.com

Role Summary

This role requires a capable and technically strong CASS professional with a proven background within regulation and have the ability to provide innovative and pragmatic solutions to regulatory issues covering all business functions across the UK entities.

Responsibilities

• Maintain the CASS Governance Framework, including development of strategy and policy.
• Assessment of organizational (system, products and services) and regulatory changes and validating the continual adequacy of CASS Governance Framework.
• Development / delivery of CASS training to the business, including periodic training and targeted SME CASS training.
• Provision of CASS technical support to clients.
• Attendance as a senior representative at CASS Governance meetings.
• Act as a point of senior management CASS contact for external auditors, clients, points of escalation.
• Challenge contact point for material CASS risks e.g. policy, system, operating model or control changes arising from changes in regulation or business change.
• CASS leadership of key operational issues e.g. complex incidents, change, client or auditor challenges, deep dive control reviews.
• Identifying, reporting, managing, and resolving of all CASS incidents including challenge to root cause, remedial and prevention steps.
• Oversight of key CASS areas: CASS interpretation, risks, issues, change, client onboarding and other key projects.
• Technical consulting and challenge of auditor or client CASS methodology or interpretation points.
• Authoring CASS methodology / policy documents or technical papers.
• Develop and maintain appropriate and effective MI and KPIs that provide governance bodies with the status of CASS compliance.
• Develop and maintain key CASS documentation e.g. CASS Risk & Controls Matrix, CASS Policy documents.
• Review CMAR monthly submissions and daily client money reconciliation.
• Act in accordance with Company policies and procedures and regulatory duties.

Skills and Experience

• Experience of operating in a compliance, Audit and / or operational oversight role in providing oversight of compliance with the FCA CASS regulations, specifically CASS 7, and an in depth understanding of Client Money and Custody Asset flows
• A strong technical understanding of FCA CASS rules and the impact on business activity, auditor expectations and key areas of industry best practice
• Knowledge and experience of different CASS models including direct custody, triparty and sub-custody arrangements
• Hands on experience of managing CASS related functions including CMAR reporting, CASS records and reconciliation requirements etc.
• Excellent communication skills with the ability to develop effective working relationships, interact effectively and influence senior management and staff at all levels
• Excellent analytical / interpretation skills
• Providing CASS input into FCA authorisation or variation of permission projects
• Delivering training sessions and workshops for CASS staff and senior management
• Drafting policies and procedures
• Build and maintain professional working relationships with clients, trade bodies, the FCA and other Regulators
• Degree educated

Competencies

• A collaborative team player, approachable, self-efficient and influences a positive work environment
• Demonstrates curiosity
• Resilient in a challenging, fast-paced environment
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness

Conduct Rules

You must:

• Act with integrity
• Act with due skill, care and diligence
• Be open and cooperative with the FCA, the PRA and other regulators
• Pay due regard to the interests of customers and treat them fairly
• Observe proper standard of market conduct
• Act to deliver good outcomes for retail customers

Company Values

Acting as a role model for the values of the Company:

Be collaborative - by working together across the organisation, we foster teamwork, can better respond to challenges and successfully deliver for our clients

Act with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders

Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face.

Be respectful how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do.

Nurture talent we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support for ourselves, and our teams.

Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.

If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.

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