Cass Assurance & Oversight Senior Manager

part of a dedicated team aiming to drive increased levels of CASS assurance and oversight across HSBC through, and not limited to, robust governance, incident investigation and read-across, employee education and training, Client Money and Assets Reporting (“CMAR”), due diligence, deep dive reviews and assurance testing.
 
Key Responsible
 
·        Support the business in the on-going maintenance and development of a robust control environment and conduct culture for HSBC Bank Plc.
·        Continuous review, analysis and maintenance of the CASS Toolkit to ensure change requests are processed within policy timeframes and that MCASS impact and scope remains accurately documented with appropriate documentation relating to controls and processes in place to meet regulatory requirements;
·        Support key change programmes across the business to ensure CASS impact is assessed, understood and appropriate action plans in place to mitigate and manage risks;
·        Contribute to and participate in the CASS governance framework including supporting the production of MI, ensuring that key control issues and emerging risks are appropriately assessed, communicated and discussed;
·        Hold business stakeholders to account for CASS compliance, and escalate effectively where necessary to ensure full protection of client assets;
·        Work collaboratively across the lines of defence, and with external stakeholders (including the regulator, appointed consultants, and auditors), to assess any CASS control failures and risks identified and support business stakeholders to implement appropriateness of remedial measures implemented against the CASS control framework;
·        Lead and contribute to both tactical and thematic reviews of potential risk areas through end to end assessment of processes and controls to provide assurance that regulatory requirements are met and to identify opportunities for improvement;
·        Providing technical leadership and excellence by searching out external best practice, monitoring technical and professional developments, sharing knowledge and encouraging others to do the same;
·        Support the firms breach management process to meet internal, regulatory and audit requirements for capturing and effectively managing instances where the firm has not been compliant with CASS rules and providing assurance over corrective measures for resolution of the breach and measures to prevent reoccurrence;
·        Design and deliver CASS training to increase CASS awareness and understanding;
Knowledge and Experience:
·         Knowledge of HBEU Securities Services and/or Markets operations an advantage;
·         Knowledge of the CASS Rules and their applicability is essential;
·         Previous experience in a CASS, Regulatory Control, risk management or Oversight function;
·         Previous experience of CMAR and CASS Toolkit oversight advantageous
·         CASS application to complex business lines and products would be an advantage;
·         CISI – CASS Qualification advantageous;
·         Analytical and challenge orientated with a strong attention to detail;
·         Experience in performing end to end risk assessments or reviews;
·         Solid process, risk and people management skills;
·         Ability to manage and prioritise multiple projects or tasks simultaneously;
·         Strong written and verbal communication skills with the ability to communicate and present complex issues succinctly and clearly;
·         The role requires a proactive and articulate individual, comfortable in dealing with senior management and able to deliver key messages and tailor output to the audience.
 
If you’re looking for a career that will help you stand out, join HSBC, and fulfil your potential. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.
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