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Head of Safeguarding and Client Assets (Manager level), London
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Client:
Empirical Search
Location:
London, United Kingdom
Job Category:
Customer Service
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EU work permit required:
Yes
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Job Reference:
dacf116f1197
Job Views:
9
Posted:
26.04.2025
Expiry Date:
10.06.2025
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Job Description:
Role Description
* Responsible for contributing to the design and overall implementation of the Safeguarding Policy Framework across multiple regulated entities
* Develop a regulatory approach across products to provide analysis and enable operational flow of fund models, providing recommendations to meet safeguarding requirements for existing products and new business requirements
* Responsible for oversight of Safeguarding compliance and developing enhancements to manage and remediate breaches, alongside monitoring to satisfy regulatory requirements
* Manage escalations, management information and project updates to Senior Management and committees
* Manage and lead safeguarding related audits working directly with audit firms and regulators, whilst coordinating internally across various departments
* Manage projects to develop and enhance safeguarding related processes and controls with treasury teams to ensure compliance with related policies
* Develop and document Safeguarding Policies to support the framework including including delivery of training materials
* Involvement in wider strategic global expansion and regulatory initiatives within the treasury space
Role Requirements
* 7+ years of either treasury, finance, regulatory or risk related experience
* Strong understanding of protection/custodianship of customer assets and related regulatory frameworks (e.g. EMI/PI Safeguarding, CASS or banking)
* Strong communication and influencing skills with an ability to build and leverage cross-functional relationships internally and externally (e.g. audit firms and regulators)
* Good understanding of treasury concepts within financial services firms such as reconciliations, cash management and FX etc including associated risks and controls
* Experience of working through change and implementing new cross-functional processes
* Attention to detail and proactivity crucial
* Experience of line management and track record of supporting career development within teams
* Forward-thinking, adaptable and thrives in a fast paced environment
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