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The purpose of this role is to provide operational support for Client Asset and Client Money Compliance within the asset manager and act in relation to ensuring compliance of business processes and controls within the company and Third Party Administrators, including oversight of outsourced CASS processes and controls.
In addition, the role will support the CASS Control Team manager to ensure that Operations together and key third party suppliers have an appropriate risk and control framework in place and that as changes happen, this change is carried out in a controlled and structured manner.
The job holder will provide operational support for CASS and act as an operational expert in relation to compliance of business processes and controls and within Third Party Administrators; Operates in a highly regulated and controlled environment with a complex, diverse investment proposition; Supports the daily client money and assets process to ensure client protection in place at all times; Supports the daily review of client money reconciliations to ensure accuracy in compliance with CASS regulations Supports the oversight of third party providers due diligence to ensure compliance with CASS regulations including review of issues or CASS breaches; Supports production of monthly CACM reports, quarterly Board reports, monthly FCA CMAR return, and monthly Directors dashboard; Ensure CASS Resolution Pack is maintained and up to date at all times; Provide input into the establishment of an appropriate assurance framework within the Operations and over our outsource arrangements;
To assist in maintaining the end to end assurance framework on an ongoing basis, i.e., gathering MI from providers and internal Operations areas, analyse the data and make recommendations for improvement. Where necessary share this MI with key stakeholders and the wider group
Keep abreast of material changes in respect of the service provision and input into the evidential requirements that need to be effected before any change takes place. Carry out periodic control reviews within Operations and of the services provided by our outsource providers.
Skills, Experience & Qualifications
- Analytical skills - Attention to detail - Knowledge of MS Office suite of applications - Communication skills - Educated to degree level - Significant practical experience in a similar or relevant role - Proven experience working in an asset management context - A relevant professional qualification, including Securities Institute preferably IIA or ICAS - Strong operational reconciliation experience necessary - Strong oversight experience with an understanding of regulatory breaches
Communicating & Influencing - communicates and works effectively with people at all levels across the organisation and gets buy-in from others through effective use of influencing
Planning & Organising – is able to work under pressure to meet deadlines and is comfortable planning and prioritising work both for self and others
Relationship Building/Networking – creates, maintains and develops positive working relationships both internally and externally to support the achievement of key outcomes
Analytical thinking – has the ability to analyse complex regulations and present relevant information back to the business in a clear and logical manner
Teamwork – works effectively as part of a team and ensures that best practice and knowledge is shared with others in the team
Problem Solving – is proactive in identifying and analysing problems and is able to think holistically when designing workable solutions
Achievement Drive – is self-motivated and driven to achieve success through the delivery of results
Accuracy/Attention to detail – is committed to producing accurate work and keeping up to date and clear records
Change Orientation – is comfortable initiating change in an innovative and sensitive manner and strives to continually improve existing processes
For more information or to apply please contact Craig at email@example.com or call 0131 473 4943