Regulatory and Compliance Lead

This growing financial services firm is on the lookout for a compliance professional with strong CASS experience to join their second-line team. With a focus on regulated outsourcing services and client money oversight, this role is critical to ensuring strong governance and FCA alignment across their expanding portfolio.

Role Overview:

• Location: Hybrid, 2-3 days per week in London Office
• Package: £60,000- £79,000 per annum & £14,000 Discretionary Annual Bonus
• Industry: Financial Services

What You’ll Be Doing:

• Acting as the CASS subject matter expert across the business
• Providing second-line oversight, advice, and guidance to senior stakeholders
• Leading compliance advisory reviews and developing mitigation strategies
• Creating and delivering compliance training across the organisation
• Supporting FCA reporting, SMCR, and regulatory change initiatives
• Handling internal investigations, regulatory queries, and risk assessments
• Preparing compliance MI and contributing to board-level reporting
• Overseeing compliance governance, frameworks, and reporting processes

Main Skills Needed:

• Strong experience in CASS, including client money, CASS RP, and CMAR
• Background in second-line compliance within financial services
• Experience managing complex regulatory compliance issues.
• Familiarity with the FCA Handbook and regulatory reporting requirements
• Excellent stakeholder engagement and communication skills
• Analytical mindset with strong reporting and problem-solving capabilities
• Experience creating and delivering compliance training
• Compliance or Risk Management certifications
• Proficient in Microsoft Excel and other MS Office tools

What’s in It for You:

• Join a forward-thinking, FCA-authorised firm backed by a major global brand
• Hybrid working and varied client exposure
• High visibility and autonomy in a growing compliance team
• Training and development tailored to your regulatory specialism
• A business that values inclusion, ethics, and long-term career growth

Think it could be a fit? We’d love to hear from you.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

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