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    CASS Oversight Manager - London, United Kingdom - Cameron Kennedy

    Cameron Kennedy
    Cameron Kennedy London, United Kingdom

    1 week ago

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    Description
    Job Description

    CASS Oversight Manager

    up to £ Bonus + Benefits

    London – Hybrid

    THE COMPANY

    They are a leading Investment Manager who are looking to add a new member to there team due to expansion .

    Aim and purpose of the role:


    • Support upholding the firm's CASS Oversight Framework to help the firm achieve compliance with the

    FCA's CASS regulations


    • Relevant experience focussed on Client Money Oversight (+ Custody Assets optional)


    • Regularly attend and lead in preparing documentation for CASS Governance meetings


    • Provide oversight and direction across the wider CASS Operations team, including a focus over CASS reconciliations and reporting requirements

    Key responsibilities:

    Main focus:

    · Regularly prepare appropriate CASS Management Information

    · A key contact point for the CASS Audit in preparation and delivery management

    · Monitor and provide regular updates over CASS policy, procedure and process map documentation

    · Help to ensure the firms' CASS Resolution Pack remain complete and fit for purpose

    · Help to ensure CASS risks are captured appropriately as part of the firm's Risk Matrix

    · Help to ensure monthly CMAR preparation and submission in line with new rules or guidance

    · Support or take a lead in ad hoc CASS Enhancement projects project work (e.g. internal control testing

    + deep dive analysis across identified operational issues)

    · Help to ensure CASS incidents/breaches are appropriately recorded, reported, and escalated and root cause analysis is performed to prevent future recurrence

    · Help to support and encourage CASS awareness across all areas of the firm's Operations

    · Take ownership of specific actions with the firm's CASS Enhancement Plan

    · Support assistance with internal auditors and Compliance Monitoring Program

    · Help to ensure corrective measures are taken to enhance controls, resolve weaknesses and automate for better effectiveness

    · Support the technical support required for external CASS consulting services

    Personal Specification:


    • Experience within Investment management sector


    • Knowledge of FCA Client Asset (CASS) rules and Risk Management within financial services


    • Ability to assess risks, evaluate impact and develop appropriate/proportionate responses


    • Attention to detail, organised with problem solving and analytical skills


    • Experience with investigations, developing processes/procedures and executive level report writing


    • Proactive to improve what's currently in place using working relationships with stakeholders


    • Good knowledge of MS Office skills in Word, Excel and PowerPoint


    • Good communicator with ability to engage positively with colleagues at all levels and third parties


    • Hybrid working in the office 2 or 3 days per week minimum

    If you are interested please apply or contact Patrick Barnett for a confidential discussion on or email him at

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    CASS Oversight Manager · up to £ Bonus + Benefits · London – Hybrid · THE COMPANY · They are a leading Investment Manager who are looking to add a new member to there team due to expansion . · Aim and purpose of the role: · • Support upholding the firm's CASS Oversight Framework ...