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Regulatory Oversight Analyst - CASS and CAP Banking/Finance - London, United Kingdom,


Regulatory Oversight Analyst


The Markets Strategic Regulatory Office (SRO) manages, executes and oversees major strategic regulatory programmes across the Markets business, supporting: Securities Finance, Capital Markets, Global FX, Liquidity Services and Collateral Management in the EMEA region.

The SRO consists of experienced professionals, who assess, prepare and implement business change and initiatives, in response to regulatory requirements - including (but not limited to) the oversight of Client Asset Safeguarding - as per the requirements of CASS and CAP.

The Regulatory Oversight Analyst will:

  • (Alongside the Accountable Individual and Responsible Individuals) be responsible for the oversight of Client Asset Safeguarding Oversight across Markets.
  • Provide Client Asset Safeguarding expertise across the Markets business lines - fully understanding the impact and applicability of CASS / CAP to Markets.
  • Be responsible for overseeing Audits (internal and external) and Business Partner reviews - pertaining to Client Asset Safeguarding.
  • Be responsible for overseeing and monitoring the Markets Issues and Breaches process - pertaining to Client Asset Safeguarding.
  • Lead and represent Markets at Councils and Sub-Committees - as required by Asset Safeguarding regulations.
  • Plan, implement and oversee successful execution of Safeguarding projects, Training and initiatives - as needed.
  • Work closely with the Markets Accountable Individual, Responsible Individuals and Business Managers to ensure the business continues to comply with the Asset Safeguarding requirements.
  • Take direction from the Head of the Markets Change Team, and/or the Regulatory Project Manager.
  • Produce objective management and status reporting to ensure timely communication and escalation of issues, MI, KRIs and KPIs.
  • Perform objective reviews / assessments of the Markets Control environment - as it pertains to CASS / CAP
  • Advocate for Markets with internal business partners and external auditors - as applicable.
  • Represent Markets in a professional and tactful manner - acting as a single point of contact to internal and external stakeholders.


The role will require the following essential key competencies:-

  • A good working knowledge of the Client Asset Safeguarding requirements (i.e. CASS, CAP)
  • Detailed knowledge of the Markets organisation and products; included, but not limited to - GCM, GLS and Securities Finance
  • Knowledge and experience of working within the regulatory environment, and how that impacts BNYM
  • At least 5 years of Business Analysis or Regulatory Oversight experience in Financial Services, with experience in Investment Banking, Capital Markets, or Foreign Exchange
  • Organised and pro-active with a positive attitude. Dependable and willing to take personal responsibility and accountability.
  • Strong team player with an ability to develop partnerships with Business, Compliance and Legal; and Technology where required
  • The ability to work independently with minimal supervision.
  • Strong verbal and written communication skills, particularly for requirements, presentations and minutes
  • Ability to effectively prioritize and multi-task in a high pressure, and high volume environment.

The role will require the following desirable key competencies:-

  • Knowledge of the custody industry and / or related financial services experience is would also be an advantage.
  • Broad knowledge of the firm, key functions and customer base would also be an advantage.


  • Effectively use Microsoft Office applications (Outlook, Word, PowerPoint, Excel, Visio, MS Project), and PC proficiency in Windows-based programs.
  • Professional qualifications such as CFA, CA or legal are beneficial;
  • At least 5 years of Regulatory or Compliance Business Analysis experience in Investment Banking, or Capital Markets, or Foreign Exchange or Asset Management firms ideally in compliance or an and operational change department;

Please be advised if you haven't heard from us within 24 hours then unfortunately your application has not been successful on this occasion, we may however keep your details on file for any suitable future vacancies and contact you accordingly. Adecco is an employment consultancy and operates as an equal opportunities employer