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Head of Compliance / CASS CF10a - Specialist Institutional Fund Platform

- City of London

This is an exciting career opportunity for you to lead the Compliance & CASS function at a boutique firm based in the City. We have been retained to identify a talented all round Compliance & CASS specialist to be the sole advisor to the business ensuring the firm complies with the FCA regulations. We are looking for a 'hands on' doer who also possesses excellent communication skills to deal with the business, regulators, other senior management and all members of staff.


The role will act as advisor to the senior management team and board committees and has a reporting line responsibility to Group Legal/Compliance and to the UK Board/Chairman. Day to day reporting is to the CEO in London to take direction for tasks and activities, planning and compliance approach.



  • Plan Compliance Reviews to ensure compliance to all required regulations and procedures in the business’ activities;
  • Review CASS rules implementation in the operational areas of the business and report on effectiveness to the Board;
  • Review and recommend any changes/alterations to the procedures;
  • Maintain good working relationship with Group Legal/Compliance, Group Internal Audit, External CASS Auditors and FCA inspection teams;
  • Monitor new regulations or good practice guidance to ensure that compliance awareness is maintained and the business responds to emerging regulation;
  • Monitor Client and Counterparty Documentation to ensure that it is current, complete and appropriate in so doing ensuring the business maintains the necessary legal and compliance documents for its activities;
  • Ensure knowledge and understanding of compliance and legal arrangements is disseminated throughout the business with particular emphasis on CASS training;
  • Assist with compliance/legal risk assessments, produce annual legal/compliance risk report to the Board;
  • Monitor execution of risk mitigation measures identified; and
  • Support new business initiatives from a regulatory perspective and participate in projects where compliance expertise is required

Whilst this is a reflection of the role it is not exhaustive and the incumbent will be expected to be flexible and take on activities outside of those listed from time to time.


  • Either Legal background or relevant professional qualifications

  • Proven technical ability in FCA regulations for Investment firms and in particular APER, SYSC, CASS, COBS along with KYC/AML

  • Good knowledge of the European Investment Fund industry

  • Experienced compliance practitioner in all aspect of securities operations with emphasis on custody

  • Experience with dealing with the regulator and board reporting

  • Strong Report Writing and Organisational qualities


Although our team do try to respond to all applications, unfortunately this is not always possible.  Therefore, should we not have contacted you within 5 days of your application you have not been successful on this occasion.


For more information contact Mark Holmes

Managing Director
Phone: 01732 746 668
Email Mark

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