Head of Investments and CASS Advisory

Robert Walters
75000.00 GBP Annual
07 Sep 2017
05 Oct 2017
Contract Type
Full Time

An excellent opportunity is available with a most respected financial services business based in Bristol for a Head of Investments and CASS Advisory who will act as an advisor with responsibility for building and maintaining a strong relationship with stakeholders.

The Head of Investments and CASS Advisory will be responsible for a team of 9 individuals, as the organisation relocate the investments and advisory team from London to Bristol.

Key Responsibilities:

  • Driving and enhancing a proactive risk management capability and culture to understand, oversee and critically assess and challenge our business models and strategy from a customer outcomes perspective
  • Membership of relevant governance forums to challenge the business on strategy, adherence to conduct risk appetite, adherence to rules and regulation, policy compliance and the authenticity of remediation
  • Making sure that all upstream risks which affect the investment business are identified, tracked and managed, and that the business management understand the impact and implementation requirements when needed
  • Representing the bank at external forums ensuring, and taking a full part in regulatory consultative exercises or initiatives
  • Drafting the pan bank CASS policy and training materials, reviewing them periodically to make sure they remain fit-for-purpose, including incorporating the results of holistic reviews of CASS breaches
  • Maintaining oversight and challenging on the interpretation and implementation of any change that impacts CASS compliance, and on the due diligence carried out on custodians and third party providers

The Head of Investments and CASS Advisory will have a deep deep knowledge of both the relevant investment products - bonds, pensions, discretionary managed services, structured products, equities, ETP, fixed income, options, futures and FX - and the relevant regulations and industry practice connected with investments, client asset, client money, insolvency code and FSCS rules. You should hold an ICA Diploma in Governance, Risk & Compliance, together with another relevant investment management, securities or trust law qualification. While not essential, wider compliance or conduct risk experience in a retail or wholesale banking environment would also be desirable. You will have strong experience in leadership roles, with a proven capacity to manage, motivate and develop individuals and teams and a track record of achievement and delivery, with significant business or operational experience.

This is an excellent opportunity in The South West. Please apply now, or for further information, contact Kayte Short at