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Finance, Risk and Compliance Client Assets (CASS) Opportunities


Are you looking for a company that values its culture as highly as the work it does? In a business where the people are always put first? With colleagues you value and trust?

We can provide you with all of that and more.

We’re looking for another great person to join the team. Someone who is just as passionate about development as they are about our industry. A new colleague who brings their own views and perspective based on their own expertise and experience to date. Ultimately, another friendly face in the office, and another person to join our fantastic company events!

Our market leading growth in the Financial Services along with our continued ambitious expansion plans mean that we can continue to offer our employees the progression, development and diverse range of client engagements they are looking for.

These are the reasons people come to us, and these are the reasons they stay.

“For me, Baringa is a great place to progress a career in finance, risk or regulatory consulting: our roster of clients extends from the most established banks and market participants to the newest, most innovative start-ups, across sectors as diverse as retail banking, wealth management, investment banking, insurance, asset management, commodities trading and energy. We are the trusted advisors and implementation partners our clients turn to with their finance optimisation, financial crime, risk management and regulatory compliance challenges and are known for our deep content expertise and our pragmatic, experience-led approach. Our client successes mean we’re always looking out for exceptional finance, risk and regulatory consultants and industry practitioners to join our team and we are committed to hiring top talent to build the very best practice in the market.” Stuart Cook - Lead Finance, Risk & Compliance Partner 

What will you be doing?
We are looking for an experienced individual with strong experience in the Client Assets Regulatory space within Capital Markets or Banking to help us expand our Finance, Risk & Compliance practice and fully contribute to the ongoing development of this important part of our business. This is a key area of focus of the FCA in which our footprint has expanded in recent years, delivering significant regulatory remediation and change for our clients.  As a consequence we are looking to develop and expand, building on our in-house experience, and recruiting further subject matter expertise.

We believe this is a unique opportunity for an individual to get involved in a thriving business and to help shape and drive the growth of the practice through real business development, decision making and exciting client delivery.

The candidate will be able to demonstrate detailed knowledge of the CASS rules in an advisory capacity, but will be equally comfortable assuming a delivery role on client site where required, either at established or new Baringa clients.

Example Projects

  • Operational impact assessment of FCA Consultation Papers 16-19 and 16-29 for an investment bank
  • Implementation of CASS Resolution Pack (RP) best practice for a global custodian
  • Design and implementation of a control and testing framework to demonstrate ongoing CASS compliance for an Asset & Wealth Manager
What’s in it for both of us?

What’s in it for you?

Well, it’s up to you. Baringa is what you make it.

  • The chance to operate at the forefront of the financial services industry in either Banking, Capital Markets, Insurance or all three!
  • Is there a good work-life balance? Absolutely. We have implemented a 3-4-5 policy to ensure that if you do need to work away from home or overseas you are never away for more than three nights a week
  • Promotion is solely based on your own performance, and we give you every opportunity to progress by having four promotional reviews a year
  • Ability to work closely with senior stakeholders both within Baringa and with the client
  • Who decides what training you get? You do. We invest in you, to ensure you remain the best in the business
  • We believe we are a great place to work – but it’s not just us that says that. We have won a top ten spot for the tenth successive year in the top places to work by the Great Place to Work Institute

So what are we looking for?

  • Experience in either a consulting firm (e.g. Big 4, Accenture, Oliver Wyman etc., or a smaller consultancy with a CASS focus) or an in-house investment bank change team
  • Experience or knowledge of the new FRC CASS Audit standards and implementation
  • Significant experience in delivering technical rules interpretation and QA for CASS engagements
  • Must understand how the capital markets and / or the banking sector work and be able to work with senior executives
  • Strong in delivery and regulatory change – comfortable getting hands-on to solve complex problems
  • High-level of proficiency with the FCA principles and rules, including the following:
  • Upcoming changes to the rules implied by the most recent Policy Statement(s);
  • Excellent understanding of the FCA’s Client Assets Unit, across policy, supervision, and enforcement;
  • Deep experience in project implementation and delivery to address both regulatory enforcement actions and remediation exercises on CASS; and
  • The ability to provide practical solutions and implementation options, effectively translating the CASS rules into real-life business scenarios.
  • Strong academic performance in a degree at graduate or undergraduate level
  • Excellent communication and presentation skills

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