Investment Operations Regulatory Specialist – 12 month FTC

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About the Role

What's in it for you?

This role offers a unique opportunity to become a central figure in safeguarding the firm’s regulatory integrity. You’ll gain deep exposure to CASS and AML frameworks while working closely with senior stakeholders across Compliance, Risk, and Operations. As chair of the CASS Committee and lead on incident management, you’ll be empowered to influence key decisions and shape best practices. With a clear line of sight to leadership and a position at the heart of regulatory strategy, this role is ideal for someone looking to build a high-impact career in financial operations and compliance.

The Team

The Regulatory Oversight team is a key function within the Investment Operations department, responsible for ensuring the organisation’s compliance with all regulatory obligations, particularly those related to client assets (CASS) and Anti Money Laundering  (AML). The team works cross-functionally with other departments to maintain robust operational controls and support the business in delivering compliant and efficient investment services. 

What you will be doing?

The Investment Operations Regulatory Specialist plays a vital role in ensuring full compliance with CASS regulations and other operational regulatory requirements. As the subject matter expert for all regulatory matters within Operations, this individual will chair the CASS Committee, lead incident meetings, and take ownership of CASS-related action items. In addition, the role is positioned as a 1.5 line of defense, providing oversight and guidance to the Operations team on regulatory issues and best practices. 

Responsibilities include

• Oversee all CASS (Client Asset Sourcebook) operational responsibilities to ensure ongoing compliance 
• Chair the CASS Committee, setting agendas, leading discussions, and ensuring follow-up on action items 
• Lead incident meetings to investigate, document, and resolve CASS and regulatory-related incidents 
• Act as the primary point of contact for all regulatory concerns within Operations 
• Serve as a 1.5 line of defense, providing guidance and oversight on regulatory processes 
• Maintain up-to-date knowledge of FCA regulations to ensure compliance and work  with Compliance and Risk teams to implement regulatory changes and manage audits 
• Monitor and report on regulatory risks and issues to senior management 
• Support the preparation of regulatory submissions, reports, audit and responses to FCA requests 
• CMAR submission /CASSRP maintenance  
• Process change lead and support – variety of Investment Operations processes 
• AML transaction monitoring/HTAR/PEP screening 
• Tax reporting  -ISA/FATCA/CRS 
• Generalist help In Operations where needed.   

Qualifications

Essential Qualifications 

• Relevant FCA certification(s) experience and successful completion of required regulatory exams to cover activity 16 & 17 under the training & Competence Sourcebook 
• Comprehensive knowledge of CASS and UK regulatory environment 
• Minimum 3 years’ experience in investment operations, regulatory compliance, or similar roles 
• Proficiency in operational risk management and incident resolution 

Preferred Qualifications 

• Professional qualification (e.g. CII, IMC, CISI, or equivalent) 
• Experience chairing committees or leading regulatory incident meetings 
• Prior involvement in SMCR/ T & C certified roles 
• Familiarity with regulatory technology solutions and reporting tools 
• Experience working with external regulators or auditors 

We encourage you to apply even if you don’t tick every box. What’s the worst that can happen? 

What we offer
✈️ Untracked holiday 
🏡 Hybrid working –  most of our people spend 3 days a week in the office
⚓ Anchor (our wellness hub) which includes Headspace, one to one coaching through Wellness Cloud, Digital GP & more 
 

Our Values 
At our core, we believe that how a company behaves is just as important as what it does. That’s why we chose to become an accredited B Corp (the equivalent of a Fairtrade coffee stamp but for companies) and to change our Articles of Association so that the interests all our stakeholders – employees, customers, communities, environment and shareholders – are considered in every decision we make.   

We are committed to building a workplace where diversity is valued, and inclusion is a priority. By providing equal opportunities for growth and development, we embrace and celebrate all races, genders, religions, sexual orientations, ages, disabilities, and socio-economic backgrounds. We believe teams achieve their best when every member feels safe, respected and empowered to be their authentic selves.

We're proud to be disability confident and are committed to supporting candidates with a disability, including neurodiversity and mental health conditions, throughout the recruitment process. Applicants are welcome to opt-in to the disability confident scheme as part of our application process. If you require any adjustments to the interview process, we’ll be happy to accommodate where possible.