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Head of Regulatory Operations and Control

  • Location

    London, UK

  • Sector:

    Financial Services & Corporate Governance

  • Job type:


  • Salary:

    £120,000 - £160,000.00 per annum

  • Contact:

    Stuart Grimmond

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    about 1 year ago

  • Expiry date:


Would you like to work for a global wealth management firm that values and nurtures the individual team member and puts the customer at the heart of everything it does?  

As a CF10a you will be accountable to the FCA for the operating effectiveness of the systems and controls designed to achieve compliance with CASS regulatory obligations. 

You will need experience of:

  •  Front-to-back CASS & transaction reporting operational processes across lines of business in order to provide effective challenge and review 
  • Responsibility for the governance and oversight of the CASS framework 
  • Transaction reporting with responsibility for Operations report submission and exception management 
  • Responsibility for the governance and oversight of the CASS framework 
  • Co-ordinate changes to CASS policy in line with changes to the business or regulatory rules 

You will be responsible for:

  • Team development and leadership
  • Performance evaluation 
  • Delegation 
  • Representation on relevant committees and forums CASS/Client Money& transaction reporting impact 
  • Making sound business decisions that benefit our customers, partners and the enterprise


You can apply for this role now by sending us your CV or by calling us now!

Contact: Stuart Grimmond

Consultant – Contracts EMEA