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CASS Analyst

McGregor Boyall
Job LocationLeeds
EducationNot Mentioned
Salary£30,000 - £38,000 per annum
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

CASS Oversight Analyst based in Leeds or Manchester, 2 days working home ongoing (Currently 100% working from home) The position supports the CASS Oversight Manager and the Head of CASS & Regulatory Reporting to oversee the operational effectiveness of the system and controls designed to achieve compliance with CASS to ensure the organisation meets its client and regulatory obligations to protect client assets.KEY RESPONSIBILITIES:

  • Co-ordinate the CASS Office
  • Support to ensure appropriate systems and controls are in place to enable the firm to comply with the FCA CASS rules and regulations
  • Identify, escalate and recommend realistic and compliant solutions to key stakeholders using informed root cause analysis
  • Promote good CASS compliance and awareness across the firm
  • Ensure relevant CASS policies and procedures are designed and operating effectively
  • Oversee the operational effectiveness of the firms CASS systems and controls that are designed to achieve compliance with CASS
  • Review, analyse and process map operational CASS processes and actual customer journeys to identify key risk areas and ensure the compliant handling of customer assets
  • Facilitate the Monthly Client Money and Asset Return (CMAR) review and challenge prior to submission to FCA.
  • Support in the management and accuracy of the CASS Resolution Pack, including a Monthly report to the CASS Committee
  • Develop and implement a comprehensive, appropriate and holistic first line of defence CASS Monitoring program.
  • Ensure training to all staff is carried out in line with the CASS T+C framework and provide SME input on content and relevance
  • Develop and maintain strong working relationships with all key internal stakeholders and external third parties, including external audit providers and the FCA
  • Review, monitor and challenge all relevant CASS MI, including exceptions, risk events and breaches
  • Provide support on projects/business changes that have an impact on the firms CASS obligations
  • Make informed risk decisions and effectively and credibly debate and challenge management recommendations within your role in line with the approved Risk Appetite Framework
  • Maintain up to date knowledge around the interpretation and development of CASS rules
  • Two years of CASS or related experience
    • KNOWLEDGE, SKILLS, EXPERIENCE REQUIRED:* Completion of CISI CASS Level 3 qualification - Or happy to study* Understand the CASS environment within Stockbroking/ Wealth management or Banking sectors* Advanced Understanding of Operations and business unit Management* Understand the Risk and Control environment* Interpersonal and communication skills with the ability to influence up to and including Executive/Board level* Advanced analytical skills; ability to extract, analyse, manipulate, interpret, and summarise complex data and information* Advanced PC Skills, Excel, Word, PowerPointMcGregor Boyall is an equal opportunity employer and do not discriminate on any grounds. Required skills
  • Communication
  • Compliance
  • Controls
  • Data
  • Risk
  • CASS

    • Keyskills :
    Communication Compliance Controls Data Risk CASS

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