CASS Oversight Manager

up to £65000 + Bonus + Benefits

London - Hybrid


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 0207 337 0011 or email him at