Senior Director overseeing global regulatory policy and advocacy strategies for neuroscience at Lilly. Engage externally and influence regulatory outcomes to improve patient care and drug development.
About the role
- Regulatory Analyst focusing on Client Assets Sourcebook (CASS) compliance in a growing FinTech company. Collaborating across teams to enhance regulatory processes and controls.
Responsibilities
- Implement and Oversee CASS Controls: Design, implement, and continuously monitor key operational controls to ensure full compliance with the FCA's incoming CASS 15 rules
- Support Customer Operations with daily CASS reconciliations, ensuring accurate and timely identification and resolution of all breaks and discrepancies in line with regulatory requirements.
- Support the maintenance of the firm’s CASS documentation, including the CASS Policy and Procedures, ensuring they remain fit for purpose and reflect current regulatory expectations and business operations.
- Prepare and submit accurate and timely internal CASS Management Information (MI) and contribute to external regulatory reporting where applicable.
- Act as a key liaison with external auditors during the annual CASS audit. This includes coordinating the provision of required documentation, sample data, reconciliation records, procedure manuals, and addressing audit queries to ensure a smooth and timely sign-off.
- Contribute to the development and ongoing maintenance of the firm's Resolution Pack documentation as required by the regulator, focusing on the mapping of critical services and the segregation/return of client funds.
- Assist in the ongoing development and embedding of the Operational Risk Framework, specifically identifying, documenting, and assessing risks related to payment flows, technology, and third-party service providers.
- Conduct regular testing and reviews of internal controls across all operations to ensure they are effective, efficient, and adequately mitigate regulatory and business risks.
- Perform thorough and meticulous Root Cause Analysis for all identified breaches, control failures, or operational incidents.
- Monitor and track the implementation of remediation actions to ensure effective closure of all identified issues where there is a regulatory impact
Requirements
- 2 - 5 years proven experience in a Regulatory Compliance, Risk, or Operational Oversight role within a UK CASS regulated financial services firm
- Solid working knowledge and practical application experience of the FCA CASS rulebook. Knowledge of other relevant EMI/payment regulations is a bonus
- Excellent analytical and problem-solving abilities, with a keen eye for detail and the capability to perform robust root cause analysis.
- Strong written and verbal communication skills, with the ability to clearly articulate complex regulatory issues to both technical and non-technical stakeholders.
- Highly organised, with the ability to manage multiple regulatory deadlines and priorities effectively
Job title
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