Cass Assurance - London, United Kingdom - eFinancialCareers

eFinancialCareers
eFinancialCareers
Verified Company
London, United Kingdom

3 weeks ago

Tom O´Connor

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Tom O´Connor

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Description
Responsibilities

  • Support the team on BAU tasks
  • Work with projects and compliance team to implement CASS changes where necessary
  • Assist with regulatory operations changes in relation to CASS
  • Understand and challenge the business processes and controls and be able to document them back to the CASS rule book
  • CASS Oversight including reviewing processes and controls, undertaking QA, sample test and/or collate data in a timely fashion to ensure compliance with relevant FCA rulebooks (CASS, COBS, SYSC, etc.).
  • Perform due diligence of client money banks and brokers including onsite visits where necessary.
  • Provide Management Information to CASS stakeholders (eg. CF10a, CASS Control and Compliance functions).
  • Work with Operational Risk team to identify all Operational Risk considerations in relation to CASS and related functions/processes.
  • Attendance at industry conferences/events, networking & roundtables in relation to CASS.
Experience

  • Understanding of Settlement & Corporate Action events in relation to MiFID II eligible products and impact on treatment as Client Money events.
  • Previous track record in process improvement with a view to developing/enhancing controls.
  • Strong presentation skills to senior management
  • Ability to push back and influence Operations & Business teams globally
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