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    • city of london, london
    • contract
    • competitive
    • randstad financial services
    Liaising with portfolio managers and other investment staff including dealers in relation to the regulatory framework including advising on UCITS and AIFMD requirements, including eligability, limits and concentration, conduct of business requirement and the application of compliance policiesProviding advisory support in relation to the coding framework for our EMEA domiciled fund rangesWorking on business projects providing timely advice on compliance matters. This includes support for new product initiatives including fund launches reviewing offering documentation, preparation of fund manager guidelines and approval of marketing collateral Overseeing and liaising with third-party service providers, including depositories, trustees, administrators and fund accountantsManaging relationships with trustees /depositories and auditors, responding in partnership with other teams to trustee information or audit requests.Coordinating compliance, regulator-driven or business-driven projects that involve cross line of business collaboration, including for example, regulatory change developmentsReviewing regulatory developments in areas of responsibility and involvement as the compliance stakeholderParticipation in key business-driven projects and initiatives providing timely advice on compliance mattersImplementation of regulatory change regarding fund regulation (such as AIFMD and UCITS)Reporting and communication on compliance matters to senior management, corporate and / or full boards and internal business stakeholdersWorking with ex-EMEA ex-UK based Compliance Officers to provide proactive qualitative compliance advice for all the EMEA domiciled fund rangesProvide compliance advice, representation and guidance to various committee and business areasRandstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
    Liaising with portfolio managers and other investment staff including dealers in relation to the regulatory framework including advising on UCITS and AIFMD requirements, including eligability, limits and concentration, conduct of business requirement and the application of compliance policiesProviding advisory support in relation to the coding framework for our EMEA domiciled fund rangesWorking on business projects providing timely advice on compliance matters. This includes support for new product initiatives including fund launches reviewing offering documentation, preparation of fund manager guidelines and approval of marketing collateral Overseeing and liaising with third-party service providers, including depositories, trustees, administrators and fund accountantsManaging relationships with trustees /depositories and auditors, responding in partnership with other teams to trustee information or audit requests.Coordinating compliance, regulator-driven or business-driven projects that involve cross line of business collaboration, including for example, regulatory change developmentsReviewing regulatory developments in areas of responsibility and involvement as the compliance stakeholderParticipation in key business-driven projects and initiatives providing timely advice on compliance mattersImplementation of regulatory change regarding fund regulation (such as AIFMD and UCITS)Reporting and communication on compliance matters to senior management, corporate and / or full boards and internal business stakeholdersWorking with ex-EMEA ex-UK based Compliance Officers to provide proactive qualitative compliance advice for all the EMEA domiciled fund rangesProvide compliance advice, representation and guidance to various committee and business areasRandstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
    • london, london
    • contract
    • £350 - £400 per day
    • randstad financial services
    You will be working closely with various teams and the business to ensure robust CASS controls are in place andappropriately documented within the CASS tool kit.You will act as an additional point of escalation with regards to CASS related control issues as well as influence functions in their remediation of control gaps.Managing and overseeing CASS risk breaches, events, lessons learnt and themed analysis. Monitor theimplementation of management action plans to ensure timely remediation and enhancements are incorporatedin the control environment.Executing deep-dive processes and control optimisation reviews, undertake regular monitoring of the risk profileand of the effectiveness of controls, support delivery of risk remediation initiatives. Perform CASS assurancetesting and targeted thematic reviews to reduce the risk of unidentified or aged control gaps. Challenge andinfluence process design and control weaknesses to continuously improve the control and protection of clientassets.Institutionalising a robust CASS training and development programme to increase CASS awareness,understanding and culture Acting as one of the principal contacts point and conduit for Client Asset Oversight Office/ 2nd/3rd lines ofdefence and other external reviews relating to the CASS role remit.Supporting the implementation of new CASS policies, control standards and procedures in accordance with theBank's policy / risk appetite. Provide CASS support and advice to various teams.Ensuring that the agenda / contents of CASS risk governance forums (as required) are 'fit for purpose' so thatkey control issues and emerging risks are appropriately discussed and addressed.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003
    You will be working closely with various teams and the business to ensure robust CASS controls are in place andappropriately documented within the CASS tool kit.You will act as an additional point of escalation with regards to CASS related control issues as well as influence functions in their remediation of control gaps.Managing and overseeing CASS risk breaches, events, lessons learnt and themed analysis. Monitor theimplementation of management action plans to ensure timely remediation and enhancements are incorporatedin the control environment.Executing deep-dive processes and control optimisation reviews, undertake regular monitoring of the risk profileand of the effectiveness of controls, support delivery of risk remediation initiatives. Perform CASS assurancetesting and targeted thematic reviews to reduce the risk of unidentified or aged control gaps. Challenge andinfluence process design and control weaknesses to continuously improve the control and protection of clientassets.Institutionalising a robust CASS training and development programme to increase CASS awareness,understanding and culture Acting as one of the principal contacts point and conduit for Client Asset Oversight Office/ 2nd/3rd lines ofdefence and other external reviews relating to the CASS role remit.Supporting the implementation of new CASS policies, control standards and procedures in accordance with theBank's policy / risk appetite. Provide CASS support and advice to various teams.Ensuring that the agenda / contents of CASS risk governance forums (as required) are 'fit for purpose' so thatkey control issues and emerging risks are appropriately discussed and addressed.Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003

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