CASS Oversight Officer - London, United Kingdom - SEI1GLOBAL

SEI1GLOBAL London, United Kingdom

4 weeks ago

Full time

Description

At SEI we value our employees and believe in driving growth through change. Part of building brave futures is making a concerted effort to develop and challenge our employees to achieve their goals through internal job mobility.

SEI is seeking to hire a CASS Oversight Officer in the Cass Oversight team to support the CASS Governance Infrastructure and control framework.

What you will do:

Key Objectives:

› Significant support of the external and internal audit and review processes as well as periodic deep dives initiated within the group for functions across the company.
› The maintenance of the CASS control framework; RCSA, Applicability Matrix, related Gap analysis and remediation and communication of necessary structural changes
› Support in the preparation related to compliance of CASS 7A – Distributions to Clients
› Monitoring of "Mandates" under CASS 8
› Monitoring of "Information to Clients" under CASS 9; including evaluation of SIEL statement functionality.
› Contribute in the periodic reviews of other CASS functions (Custody, Client Money and RP)

Responsibilities include but are not limited to:

› Supporting the Senior CASS Officer with External and Internal Audits, Compliance Reviews and any other reviews of the SIEL CASS infrastructure.
o Assist with the Data gathering and preparation for internal and external audits. Monitor, track and review requested documents and evidence collaborate in preparing teams for audit as appropriate.
o Managing the provision of documentation, testing material, arranging meetings, preparing analyses in response to findings and management letter points.
o Track and support the resolution of previous audit actions, preparing documentation and evidence as appropriate.
o Assist in the implementation of any remediation and ensuring, no overdue actions.
› Assisting the Senior CASS Officer in the ongoing development of the CASS Support Training Structure – development and making CASS training presentations.
› Monitor breaches and assess impact, root-cause analysis and remediation action as necessary, maintain and monitor breach register and related Risk Reporting (Accelerate) ie daily monitoring of Accelerate items related to CASS and regulatory operations.
› Assist in developing a structure that documents the firms adherence with the CASS rules for all of the rule book that applies. Create a program of maintenance and review for the material.
› Monitor changes to CASS rule book and asses impact to SIEL Infrastructure.
› Support Cass Outsourcing services

What we need from you:

› Degree (or equivalent) calibre with credible regulatory experience from an investment banking, wealth management or private banking industry;
› Good level of understanding of CASS rules and requirements.
› Knowledge of industry dynamics, business strategies, products and operating platforms would be advantageous;
› CASS Audit experience, Audit of Investment Banks or Investment Management Firms would be beneficial
› Proficient Word, Excel, Access and Outlook skills, with demonstrated experience in the development and maintenance of databases to analyse large amounts of information.

What we would like from you:

› Ability to work independently and under own initiative.
› Strong communication skills.
› The ability to work well within a team.
› Strong dedication to quality customer service;
› Excellent verbal and written communication skills; exceptional interpersonal skills/team player;
› Ability to work in a busy and changing environment;
› Excellent organisational and problem solving skills; influencing and negotiation skills.
› Someone who will embody our SEI Values of courage, integrity, collaboration, inclusion, connection and fun. Please see our website for more information.

SEI is an Equal Opportunity Employer and so much more...

After over 50 years in business, SEI remains a leading global provider of investment processing, investment management and investment operations solutions. Reflecting our experience within financial services and financial technology our UK office is based between the City of London and the growing technology hub of Shoreditch. The open plan nature of our office space, flowing lines and numerous art installations are designed to encourage innovation and creativity in our workforce. We recognise that our people are our most valuable asset and are (literally) invested in your success; we know that a healthy, happy and motivated workforce is key to our continued growth. We are focused on ensuring a healthy work-life balance and offer our employees benefits which include private medical care for you and your family, access to GPs online for appointments, enhanced family leave, volunteer days, access to thriving employee networks and not forgetting free fruit twice a week.

SEI Investments (Europe) Limited ('SIEL') is authorised and regulated by the Financial Conduct Authority (FRN