CASS Oversight Manager
up to £65000 + Bonus + Benefits
London - Hybrid
THE COMPANY
They are a leading Investment Manager who are looking to add a new member to there team due to expansion .
Aim and purpose of the role:
* Support upholding the firm's CASS Oversight Framework to help the firm achieve compliance with the
FCA's CASS regulations
* Relevant experience focussed on Client Money Oversight (+ Custody Assets optional)
* Regularly attend and lead in preparing documentation for CASS Governance meetings
* Provide oversight and direction across the wider CASS Operations team, including a focus over CASS reconciliations and reporting requirements
Key responsibilities:
Main focus:
· Regularly prepare appropriate CASS Management Information
· A key contact point for the CASS Audit in preparation and delivery management
· Monitor and provide regular updates over CASS policy, procedure and process map documentation
· Help to ensure the firms' CASS Resolution Pack remain complete and fit for purpose
· Help to ensure CASS risks are captured appropriately as part of the firm's Risk Matrix
· Help to ensure monthly CMAR preparation and submission in line with new rules or guidance
· Support or take a lead in ad hoc CASS Enhancement projects project work (e.g. internal control testing
+ deep dive analysis across identified operational issues)
· Help to ensure CASS incidents/breaches are appropriately recorded, reported, and escalated and root cause analysis is performed to prevent future recurrence
· Help to support and encourage CASS awareness across all areas of the firm's Operations
· Take ownership of specific actions with the firm's CASS Enhancement Plan
· Support assistance with internal auditors and Compliance Monitoring Program
· Help to ensure corrective measures are taken to enhance controls, resolve weaknesses and automate for better effectiveness
· Support the technical support required for external CASS consulting services
Personal Specification:
* Experience within Investment management sector
* Knowledge of FCA Client Asset (CASS) rules and Risk Management within financial services
* Ability to assess risks, evaluate impact and develop appropriate/proportionate responses
* Attention to detail, organised with problem solving and analytical skills
* Experience with investigations, developing processes/procedures and executive level report writing
* Proactive to improve what's currently in place using working relationships with stakeholders
* Good knowledge of MS Office skills in Word, Excel and PowerPoint
* Good communicator with ability to engage positively with colleagues at all levels and third parties
* Hybrid working in the office 2 or 3 days per week minimum
If you are interested please apply or contact Patrick Barnett for a confidential discussion on or email him at