The Opportunity

The Prudential Regulation, Client Assets team provides high quality, innovative advice and solutions to financial services firms who face regulatory and risk issues. As a CASS subject matter expert in this group, you will provide high quality advice to clients on the interpretation of the FCA CASS rules. You will be required to engage at a senior level with clients to understand the impact of regulatory and policy change, as well as implementing process or system changes required to ensure compliance to the FCA CASS rules.

Your Role

• Providing high quality advice and insights to financial services firms on all aspects of the FCA CASS rules;
• Helping clients to anticipate and understand the impact of regulatory policy change;
• Performing reviews on clients’ CASS related functions in both an advisory and audit role, and producing reports on their compliance with CASS rules;
• Managing the implementation of effective CASS governance frameworks;
• Managing and / or leading CASS related client projects, and manage senior stakeholders’ expectations; and
• Leading and developing the CASS proposition within Audit and Assurance, mentoring junior members of staff and providing CASS training where required.
• Managing diverse teams within an inclusive team culture where people are recognised for their contribution.

Your Experience

• Degree and / or relevant professional qualification and / or significant relevant consulting or industry expertise;
• Experience in the CASS regulatory/compliance environment in the financial services industry. This may be from working in a Consulting firm or in the industry within Operations or Compliance departments on CASS related functions;
• Practical experience in managing day to day CASS related functions e.g. client money and custody asset internal/external reconciliations, CASS Resolution Pack, CMAR reporting, etc.
• Proven track record in practical application of the CASS rules, and implementing solutions to comply with CASS regulatory requirements;
• Strong technical knowledge of CASS rules as applied to the financial services sector;
• Knowledge of the latest regulatory developments in relation to CASS and key current issues facing regulated firms;
• Strong awareness of broader perspective of potential issues encountered when managing diverse teams and the strategies to overcome them;
• Good presentation and business writing skills;
• Ability to work under own initiative and well organised;
• Strong ability to document work performed and conclusions reached when advising clients and / or carrying out audit reviews;
• Ability to deliver a high quality service within demanding timeframes and ability to prioritise multiple tasks; and
• Strong leadership skills and experience in managing and leading a team to success.
• Managing and reviewing work performed by team members.