CASS Oversight Analyst

Principal Accountabilities/Performance Objectives:

Work closely with CASS Officer to help maintain an effective CASS risk and control framework and ensure that risks are managed with processes and controls designed in accordance with Capital Group policies, procedures and relevant regulations.

Assist with the running of the CASS Oversight Committee and BoD Reporting including collating packs, management Information (MI), minutes and actions

Assist the CASS Officer to identify, document, and mitigate current and emerging CASS risks by working collaboratively with other parts of the business.
Review CASS breaches and maintain oversight of remedial actions until closed
Assist with due diligence reviews, site visits, third party oversight workshops/forums, reviews of controls reports and acknowledgement letter(s) in accordance with CASS and SYSC rules
Assist with managing the CASS audit process and submission, liaising with the Auditors, Transfer Agent and internal stakeholders, as required
Assist with delivering and maintaining CASS training in line with internal policies to relevant staff members and identify any development needs of Associates
Assist with the oversight of CASS related processes undertaken by third party providers e.g. client money accounts(s), client money reconciliations, CMAR
Assist with maintenance of CASS Resolution Pack (RP) in accordance with the CASS rules
Maintain an up-to-date knowledge of upcoming regulatory change in relation to CASS, market and industry developments.
Assist with maintain the firms CASS policies and procedures, conduct regular reviews, and ensure all staff are aware of policies and have understood the firms approach to CASS.

Assist Client Operations with investor onboarding, support and maintenance tasks, as well as ongoing ad hoc tasks and projects, as required
Assist the CASS Officer with Internal Audit and Compliance Monitoring reviews, as required

Experience / SkillsEssential

Educated to Degree level (or equivalent).
4+ years’ experience in a FCA CASS Oversight function or similar, ideally in a CASS medium/large firm using an outsource provider and/or experience of working on CASS medium/large firm audits or advisory assignments.
Detailed understanding of FCA CASS rules with business and operational knowledge/experience with a focus on CASS 7

Experience in engaging with CASS Auditors and the FCA on CASS matters.
Experience in maintaining oversight of a third-party relationship via an outsource model.
Evidence of effective working relationships with internal and external stakeholders.
Flexible, adaptable, and able to multi-task in a fast paced and changeable environment.
Effective communication skills both verbally and written, with an ability to articulate issues clearly and logically.
Strong analytical, written skills and presentation skills.

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