Compliance & Risk Officer (CASS)
- Contract Type
Our client, a leading Insurance & Investment company within Warwickshire is looking for a Risk & Compliance Officer to join their dynamic office. With over a 100 years in business, this is a very exciting time to join them as they plan to expand in 2019. They are also an award winning business with great company benefits such as 27 days Annual Leave, Annual bonuses and protection schemes.
This role will centre on maintaining their CASS principles and 1st line oversight of the risk functions. It will also entail:
- Build and maintain effective relationships with regulatory bodies, auditors and all levels of internal and external business stakeholders.
- Plan, perform and report upon first line client asset oversight and risk assurance reviews to provide assurance over key regulatory compliance risks.
- Advise on and influence controls (CASS Regime), process improvements and good practice to ensure compliance with client asset requirements.
- Identify gaps and advise appropriate course of action to remedy, thereby maintaining the integrity of the risk and compliance framework and improve the quality, value and efficiency of output.
- Timely and accurate reconciliation reviews and production of regulatory returns.
- Investigate and lead the efficient resolution of issues, breaches and reconciliation queries to improve capability of the team.
The successful candidates should ideally have the following qualities:
- Level 4 CASS Qualified (Good proven experience of CASS)
- Sound judgement when balancing regulatory requirements with business needs and maintaining a strong commercial focus.
- Experience within the Insurance or Financial Services industry and knowledge of client asset regulations is preferable.
- Good analytical and review skills to ensure accurate client asset oversight reporting is provided to the business.
- Proven track record of meeting commercial and regulatory deadlines.
- Good spreadsheet and data manipulation skills with particular reference to MS Excel.
- Track record of influencing stakeholders and providing insight and foresight to the business.
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