Client Assets Associate
4 d. temu

Responsibilities and scope of role will include all aspects of the client asset function both daily control functions and project / business analysis within Client Assets Operations and also the distributed support that sits across global Operations and other divisions such as business areas, Legal, Compliance and Technology etc.

The Client Assets team within Regulatory Operations is responsible for ensuring compliance with FCA Client Asset regulations.

They are responsible for the daily client money lock up calculation and analysis of client balances across a broad range of business types within the various regulated entities.

The team also are responsible for regulatory reporting, partnering with business analysis and implementation teams, driving forward various projects to develop and improve risk and control frameworks and liaison with regulators.


Responsibilities include the following :

  • Contribute to efforts to enhance and maintain current CASS risk assessment and control framework across all FCA regulated entities
  • Daily calculation of cash lock up for UK Client Assets entities
  • Daily calculation of segregation deficits for UK Client Assets entities
  • Liaising with various CASS community teams on inputs to daily calculations & managing escalations
  • Consulting with Legal, Compliance and Operations management on Client Assets issues impacting calculations
  • Incident management process & breach reporting to FCA
  • Participating in Technology related change management impacting Client Assets
  • Assist Managers with hiring process and new team members training
  • Helping with team members problems and oversee team members work for quality and timeliness
  • Participate in Client Asset initiatives

  • Ability to manage various deliverables concurrently throughout the day, within deadlines
  • Must be a self-starter who can liaise with various teams both regionally and globally
  • Must have strong communication skills to clearly articulate issues and ideas, provide timely escalation
  • Strong analytical skills with an ability to understand complex workflows across multiple business types required
  • Demonstration of strong organisational, prioritisation and project management skills required
  • Good interpersonal skills to build strong relationship with key stakeholders within and outside of Operations essential
  • Good influencing skills to work with the Operations team in challenging the status quo and continuously enhancing the control environment required
  • Team leadership and people management experience would be an asset
  • Knowledge and experience in banking / finance operations and regulations
  • Strong academic record
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