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Custody Oversight Manager

LINK GROUP
Job LocationLeeds
EducationNot Mentioned
SalarySalary not specified
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

OverviewThe Controls & Oversight team, based in Leeds, perform a multitude of oversight, governance and control tasks to ensure the business complies with its Client Asset regulatory obligations but also operates in an efficient manner to ensure client transactions and funds are processed correctly and promptly and assets are held and allocated appropriately.The FCAs Client Assets Sourcebook (CASS) provides rules for firms to follow whenever the firm holds or controls client money or safe custody assets. CASS helps ensure the safety of client money and assets if a firm fails and leaves the market. As a result, robust controls and oversight are needed to ensure all client assets are retained in line with the CASS regulations.This key management role has two key elements to help the firm meet these obligations; firstly, to have product management responsibility for our custodial services, oversee and relationship manage our key custodian relationships, oversee new account opening and existing account reconciliation but also provide first line oversight of its adherence to the CASS rules, investigating and resolving breaches and providing a root cause analysis to stop recurrence.Key Accountabilities and Main Responsibilities

  • Product management/ownership of custody services;
  • Oversight of regulatory reporting e.g. CMAR;
  • SME for legal/compliance/CASS office on our range of custodial services;
  • Relationship manage our key custodians;
  • Periodic reviews of custodial controls/processes;
  • Membership of CASS Co;
  • Reconciliation and oversight of physical assets;
  • Oversight of regulated stock exceptions and the resolution of discrepancies;
  • Assist operational teams with procedural enhancements and review to stop breaches at source;
  • Provision of relevant MI to management and CASS committee.
    • Experience & Personal Attributes
  • Strong working knowledge of CASS rules with a minimum of 2 years’ Client Asset related experience;
  • Custodian management experience;
  • Previous product ownership/SME experience gained in an SMCR environment;
  • Good working knowledge of UK clearing processes and cross-border movements;
  • Crest account opening experience;
  • Equity market knowledge;
  • Settlements/Stock transfer knowledge (desirable)
  • Problem solving skills
  • Accuracy and attention to detail.
  • Strong communication skills.
  • Organisational skills
  • Understanding of regulatory and operational risk.
  • Self-motivated

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