Investment Cass Specialist - Audit, Advisory & Compliance
To £75000 + Bonus + Pension + PHI + Life Ins. + other benefits Berkshire & London

The Company
Growing Wealth Management Company with excellent reputation and excellent employee culture. They offer an excellent environment to develop and grow with good career prospects. The role they are currently offering sits within the investment operations area and will enable you to gain exposure to the business.

The Role
This role is responsible for providing guidance to operational areas on compliance issues, specifically CASS (and less importantly COB rules). The role will also be responsible for ensuring that all operational processes are compliant with regulatory requirements. You will be able to understand and interpret Cass points when dealing with the external auditors. You will be responsible for the policies, procedures, dealing with the external auditors etc., so you will need to be able to understand and interpret the regulations and be comfortable creating compliant procedures that stand up to regulatory scrutiny. The position will require travel between the London and Berkshire office. The role includes the following:-

  • Ensure completeness and accuracy of monthly Client Money and Asset Return
  • Drive through the required regulatory changes arising from Policy Statement 14/9
  • Prepare quarterly updates for the Risk Committee on CASS related activities
  • Investigate all CASS breaches and introduce preventative controls
  • Provide effective MI on CASS matters as they affect operations
  • Perform periodic reviews of the CASS Resolution packs
  • Perform periodic due diligence of third parties
  • Co-ordinate the annual external CASS audit and be primary contact for our auditors
  • Contribute to the oversight of the company's outsource provider.
  • Co-ordinate the collation of agenda items and documents for the monthly CASS Oversight Meeting
  • Update and deliver the annual CASS training
  • Act as a focal point for technical operational queries
  • Adhere to all company policies and procedures
  • Contribute to risk and controls for team activity

Who they are looking for
To be considered for this excellent role, you will meet the following criteria:-

  • Sound knowledge of CASS gained through Audit, Advisory or Compliance whilst working for a firm of accountants, consultancy or investment / wealth manager.
  • Good understanding of investments
  • Competent using Microsoft packages. Skilled with Word, Excel and Outlook
  • Proficient knowledge of portfolio management and securities processing
  • Proven track record of identifying improvements and change implementation
  • Good coaching/training skills
  • Ability to articulate issues to all levels of the business
  • Persuasive communication and negotiation skills