Manager – CASS Assurance
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.
- 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.
- 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.