Rothstein Recruitment
Finance Manager - CASS 7 - Investment Firm
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Finance Manager - CASS 7 - Investment Firm
Excellent opportunity opens for a Finance Manager to join a London-based Investment Firm. You will own the financial control function, client money reconciliation and regulatory reporting. The successful candidate will be an ambitious Finance Manager willing to take on a broad visible position, working closely with the CEO and Founder. This is an opportunity to become FCA certified.
Key Responsibilities:
Financial Control
- Month end close for every entity in the group, to an agreed calendar.
- Statutory accounts to 31 December and management of the audit.
- Management reporting to the Managing Director, the CEO and shareholders.
- The chart of accounts and the accounting treatment of direct investments, SPV wrappers and carried interest.
Client Investment and CASS
- The daily internal client money reconciliation under CASS 7.16. Sterling and dollars are reconciled separately and never summed at an exchange rate.
- The external reconciliation against the bank's statements.
- The client money ledger, so that every bank receipt resolves to a named investor and a deal.
- CASS 7.18 acknowledgement letters, records retention and the annual CASS audit.
- Reporting any CASS breach to the Managing Director and to compliance without delay.
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Regulatory Reporting
- Quarterly MIFIDPRU returns on RegData: FSA029, FSA030, MIF001, MIF002, MIF003 and MIF004. The own funds requirement under MIFIDPRU 4.3, covering the permanent minimum requirement, the fixed overheads requirement and the K-factor requirement.
- The basic liquid assets requirement under MIFIDPRU 6.2.
- The ICARA document and the wind-down plan, prepared with compliance.
- Companies House and HMRC filings for the UK entity, and the non-UK filing calendar for the Delaware and Cayman entities.
Fund and SVP Accounting
- Books for the Delaware series SPVs and the Cayman fund.
- Capital accounts, drawdowns, distributions and the carried interest calculation.
- Investor capital statements and periodic investor reporting.
- Working with the Cayman administrator and a CIMA approved auditor.
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Experience:
- Qualified accountant. ACA, ACCA or CIMA.
- At least five years post qualification, including time inside an FCA authorised firm.
- Hands-on client money experience. You have run or reviewed a CASS 7 reconciliation, not read about one.
- Preparation of FCA regulatory returns. MIFIDPRU is preferred. IFPRU or BIPRU experience with a willingness to retrain will be considered.
- Fund or SPV accounting, including capital accounts and carried interest.
- Multi-entity and multi-currency consolidation.
- Anti-money laundering work at a level that supports an SMF17 application. Customer due diligence, sanctions screening, suspicious activity reporting and the annual MLRO report.
- Willingness to own the whole ledger yourself rather than review someone else's work.
Job Titles: Finance Manager, Financial Controller, Senior Finance Manager, ACCA, ACA, CIMA, CASS, CASS 7, Regulatory Reporting, Accountant, Accounting, Reg Reporting, SVP, AML, Anti Money Laundering, Management Accounting
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