Cass Oversight Manager - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

1 week ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

About Columbia Threadneedle Investments

You'll find the promise we make to our clients is the same one we make to our employees: Your success is our priority.

Here, you'll find growth and career opportunities across all our businesses. We're intentionally built to help you succeed. Our reach is expansive with a global team of 2,000 people working together. Our expertise is diverse with more than 450 investment professionalssharing global perspectives across all major asset classes and markets.

Our clients have access to a broad array of investment strategies and we have the capability to create bespoke solutions matched to clients' specific requirements.

We appreciate that work-life balance is an important factor for many when considering their next move so please discuss any flexible working requirements directly with your recruiter.

Job Purpose Statement
Where you'll fit in & what our team goals are....

You will, at times deputise for the Head of CASS in providing first line oversight and support on all CASS related matters.

You'll also be responsible for developing, implementing and maintaining an effective first line control framework to ensure compliance with CASS and CMAR reporting regulations.

Role Responsibilities

How you'll spend your time
:

Oversight of CASS activities and processes performed by our outsourced partners.
Work with the CASS Oversight team to develop and maintain, on a regular basis, all relevant procedures and policies in particular working with the second line to stay on top of any new CASS related regulation.
Proactive identification and management of any CASS related regulatory risks including internal and external breaches.
Develop and maintain a CASS control/oversight framework inc:
Ensure outsourced providers CASS processes and controls are detailed and in line with business and regulatory requirements
Review of CM and Asset Reconciliations
Review of CMAR returns
Periodic review of CASS resolution packs
Manage and supervise the content of all retail complaints to measure and CASS Impact
Ensure all regulatory returns are submitted accurately and on time
Maintain the internal control framework and associated tasks and risks
Support the Head of CASS with all CASS internal and external audits and associated liaison with external suppliers
Help support and handle the CASS oversight team.
Review all CASS related breaches and near miss incidents
Assess if reportable to the FCA
Ensure supplier (or internal) remediation is achieved where appropriate
Attendance at:
Supplier CASS workshops and forums
CASS Regulatory updates
CASS Courses/Training
Internal CASS Governance committee meetings, deputising for the Head of CASS

Key Capabilities

To 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 performed by TA providers
Experience of managing CASS processes provided by TA providers
Experience of CASS and operational processes of an asset management business
Excellent communication and influencing skills
Effective relationship management with internal and external stakeholders
The ability to perform an oversight role and report effectively on the findings