CASS Specialis

CASS SpecialistResponsibilities:

Conduct timely remediation work of CASS audit findings.
Collaborate with other departments to drive the prompt resolution of any discrepancies found and assist with root cause analysis and remediation alongside other senior staff members.
Review, Identify and manage all CASS related breaches and near miss incidents, Assess if reportable to the FCA
Development of remediation plans for performing CASS Cash reconciliation processes and ongoing monitoring
Development of remediation plans for performing CASS Asset reconciliation processes and ongoing monitoring
Raise any potential issues or areas of non-compliance as soon as identified
Understand the impact of changes on the CASS risk environment and work to provide a CASS risks improvement and/or remediation
Support mapping of CASS rules to the firms risks and controls;
Develop a framework for the ongoing monitoring and assessing CASS controls.
Provide support on incorporating the changes within governance and oversight framework.
Work alongside the firm to implement changes to the CASS operating model.
Design/Update Key CASS policies and align to procedures

Skills and experience were looking for:

Having worked within either Brokerage House or Investment Bank , Asset Management, Finance or Risk and Compliance ,
Ideally have knowledge of the Client Assets and its impact on asset management firms
Broad understanding of other regulatory obligations relevant to an asset manager
Strong communication and presentation skills
Effective stakeholder management
Analytical mind-set with strong Excel skills

Key CapabilitiesTo be successful in this role you will have....

Detailed knowledge and understanding of the CASS and CMAR regulatory requirements
An understanding of the operational processes
Experience of managing CASS policies and
Experience of CASS and operational processes of a brokerage business
Excellent communication skills
Effective relationship management with internal and external stakeholders
The ability to perform an oversight role and report effectively on the findings

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