The Compliance officer will perform a second line role advising the project on the setting up of a CASS firm and the regulatory requirements for this. The role will involve stakeholder management at a senior level and supporting the relevant regulatory applications.
Provide Advice and Guidance to the business on CASS, Mifid 2 and wider regulations affecting CASS Firms. Ensure compliance with company policies, regulatory, professional and legal requirements.
Working with CF10a or delegates to ensure an effective CASS operational framework is designed and implemented
Develop, deliver and administer appropriate and relevant communications, initiatives and training for compliance staff and other relevant teams across the UK Group in order to build CASS knowledge
Assist the Head of Compliance Technical in the identification, analysis and dissemination of the latest regulatory information regarding CASS and support any regulatory interaction and submissions
Assist with the building of Regulatory Reporting in relation to CASS and any other relevant returns
Drafting CASS Compliance manual and any relevant policies in line with the Canada Life Requirements
Ensure full record of any technical work is completed and stored within the Compliance folders, prepare any documents for project governance committees and board approval
Provide regular updates on progress to Head of Compliance Technical, Simplified Platform Project and MGMA executives as required
Extensive CASS and Mifid experience in a Platform/ Asset Management environment.
Extensive knowledge and experience in dealing with matters arising from the FCA / PRA (or successor organisations) handbook, including SYSC, COBS, CASS and relevant prudential regulation.
Experience of managing senior stakeholders
Excellent communication skills both written and oral along with an ability to deliver to requirements
Ability to Deliver to required timescales, good quality and accurate information
Essential: Degree level education
Desirable: CASS specific qualifications
About Canada Life:
Canada Life looks after the retirement, investment and protection needs of individuals, families and companies. We help to build better futures. There can be no greater priority than the commitment and responsibility towards all our customers. At Canada Life we adhere to the same principles as when we were formed in 1847: integrity, consistency and experience.
Our heritage is important to us. Our parent company, Great-West Lifeco, is a financially strong, stable, modern global organisation. The oldest Canadian life assurance company, Great-West Lifeco traces its foundation back to 1847 - that is more than 170 years of helping customers plan for the future.
Since 1903 we have operated in the United Kingdom where we have hundreds of respected and supported staff all geared to doing the right thing for customers.
Internal Number: 5979915
About Canada Life Limited
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