Senior Vice President, Client Asset Safety Compliance

Overview

In this Senior VP role, you act as a senior SME within the Client Asset Safety Compliance Centre of Excellence, delivering independent 2nd line oversight and advisory support across businesses and entities holding client assets. You will translate complex asset safety rules into practical guidance and partner with control functions to sustain a global oversight model. You’ll influence governance standards, risk-based decisions, and remediation programs while remaining accountable for regulatory interpretations and change initiatives. This is a strategic, cross-jurisdictional role that shapes the client asset safety framework at scale.

Pay / Benefits

• flexible global resources
• wellbeing programs
• paid leaves including volunteer time
• pay-for-performance
• international career opportunities
• training and development opportunities

Responsibilities

• Provide 2nd line Compliance oversight and advisory support across businesses, platforms and legal entities
• Interpret complex client asset safety requirements and translate into practical guidance for stakeholders
• Support a coordinated, global oversight model with 1st line, risk, legal and control partners
• Advise on regulatory developments, new initiatives and transformation programs affecting client asset safety
• Assess regulatory changes and industry developments for their impact on the framework and operating model
• Contribute to governance standards, policies, guidance and management information
• Review and challenge controls related to client asset safety (segregation, books and records, reconciliations, governance)
• Lead risk-based assessment and remediation activities, including issue management and root-cause analysis
• Support regulatory reporting processes linked to client asset safety requirements
• Prepare governance materials, escalation papers and trend analysis for senior management
• Support external audits, regulatory reviews and internal reviews requiring client asset safety expertise
• Guide assurance activities with Compliance Testing to focus on emerging risks
• Represent Compliance in internal/external forums and industry discussions
• Act as trusted advisor on strategic initiatives affecting client asset safety (regulatory change, digital assets, custody model evolution)
• Mentor juniors and align with wider team objectives across jurisdictions

Key requirements

• Experience in Compliance, Regulatory Advisory, Legal Entity Compliance, Operational Risk, Audit or related control function in financial services
• Deep SME in client asset safety, client money, custody protection, segregation, books and records, reconciliations
• Strong knowledge of client asset protection requirements including UK CASS (CASS 7) and global regimes
• Ability to interpret complex regulation and apply in a large global institution
• Experience supporting regulatory change, governance enhancement, control improvement, remediation and transformation
• Strong analytical, risk assessment and problem-solving skills with practical, risk-based solutions
• Credibility and influence with stakeholders across business, operations and control functions
• Excellent written and verbal communication for governance materials and regulatory content
• Strong organizational skills and multi-jurisdictional prioritization
• Bachelor’s degree or equivalent experience; Business, Finance, Law or related degree preferred

• Credibility and influence with stakeholders
• Excellent communication
• Strong analytical and problem-solving
• Client asset safety
• CASS (UK)
• Regulatory change management

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