CASS Oversight Manager

Job Description

CAREER DEVELOPMENT PATH: Managing or Being an ExpertREPORTING TO: Head of CASS OversightAbout the Role This is a rare and exciting opportunity to join the small, but dedicated CASS Oversight team - Hargreaves Lansdowns specialist team that oversees our arrangements for protecting our clients money and investments.We work in a fast paced and dynamic environment where no two days are the same. The role involves working with a diverse range of stakeholders at different levels both within the organisation and outside and presents the opportunity for both personal andprofessional development for the right candidate.HLs purpose is to empower people to save and invest with confidence. Compliance with the CASS rules is a critical element of this as it helps to give clients confidence that their money and assets will be safe with us. Over 1.5 million clients trust usto look after over £100 billion of their assets.What youll be doingThe role will be varied, challenging and wide ranging as nearly all parts of our business are touched by the FCAs CASS regime in some way. The CASS Oversight Manager will support the Head of CASS Oversight to:

• Maintain and enhance our CASS control environment by working collaboratively with other parts of the business;
• Continue to develop and maintain appropriate governance and oversight frameworks to monitor the operational effectiveness of the systems and controls that are designed to achieve compliance with the CASS rules, including, assessing any CASS related incidentsand overseeing any necessary remedial actions; and,
• Manage the processes of reporting to our governing bodies and to the FCA via the monthly CMAR return.

Other responsibilities include:

• Maintaining our CASS Resolution Packs;
• Ensuring team level responsibilities are met through appropriate resourcing and risk management procedures, escalating issues and trends, where appropriate to the Head of CASS Oversight;
• Maintaining an effective risk and control environment within the CASS Oversight team, ensuring that risks are managed, processes and controls are designed effectively and operated by team members in accordance with policies and procedures;
• Helping to manage performance and conduct and helping to provide leadership and direction to the team;
• Supporting clear career progression and development opportunities in the team to maximise colleague engagement and retention; and,
• Deputising for the Head of CASS Oversight when required

About youTo succeed as CASS Oversight Manager at HL you will have:

• Experience of working in a CASS Oversight function, ideally in a CASS large firm and/or experience of working on CASS large firm audits or advisory assignments
• Extensive business, regulatory (with a particular focus on the CASS regime) and operational knowledge
• Educated to Degree level (or equivalent)
• Excellent communications skills, written and verbal, strong analytical/problem solving skills, excellent developer of people, effective delegation skills, strong prioritisation skills, leadership.

Desirable

• Qualified accountant (or equivalent)

Interview processThe interview process will include two stages, including a presentation.Working scheduleThis is a full time, permanent role working 37.5 hours per week. We have a hybrid working model at HL - our head office is in Bristol, BS1 5HL, however applications outside of Bristol across the UK will also be considered.Why usHere at HL, were the UKs number 1 investment platform for private investors, based in Bristol. For more than 40 years weve helped investors save time, tax and money on their investments.To achieve our mission, we believe we have a workplace like no other, with constant learning, dynamic teams, and a great ethos. Were steered by core values that promote service, quality, innovation, and opportunity in everything we do.Whats on offer

• Discretionary annual bonus & annual pay review
• 25* days holiday plus bank holidays and 1-day additional Christmas closure time
• Option to purchase an additional 5 days holiday per year
• Flexible working options available, including hybrid working
• Pension scheme up to 11% employer contribution
• Sharesave scheme - have a real stake in HLs future
• Income Protection & Life insurance (4 x salary core level of cover)
• Health care cash plans - including optical, dental, and out patientcare
• Help@hand and an Employee Assistance Programme
• Gympass - gym memberships and wellbeing apps available
• Variety of travel to work schemes with free bike storage and shower facilities
• An inhouse barista serving subsidised coffee and snacks
• Join HLs sports, I&D networks and volunteering groups (two paid volunteering days per year)
• LifeWorks Discounts on services, restaurants and retailers

* up to 30 days depending on role level & increasing with length of serviceWe know that sometimes people can be put off applying for a job if they dont tick every box. If youre excited about working for us and have most of the skills or experience were looking for, please go ahead and apply. Wed love to hear from you!Hargreaves Lansdown is an inclusive employer that values diversity in its workforce. We encourage applications from all individuals without regard to race, religion, gender, sexual orientation, national origin, disability or age.This role may also be available on a flexible working or part time basis - please ask the Recruitment & Onboarding team for more information.Please note, we are unable to provide employment sponsorship to candidates.