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CASS Oversight Associate - ref: 10859
£50000 - £60000
published: 05/06/2018

A leading broker based in the city is wishing to hire a CASS oversight associate to report to head of custody operations (CF10A) within operations. The successful candidate will be responsible for providing and managing assurance to the CF10A, review and develop CASS oversight function and complete regulatory and management reporting.

Main duties include:

  • Analysis of regulatory changes relating to CASS and impact on business requirements and processes.
  • Review system usage and complete root causes analysis with recommendations for system and process improvement, escalating findings to the respective business heads.
  • Review and log CASS incident reporting received from all business area and provide summary of the impact of each event on the firms CASS compliance.
  • Develop and maintain a strong knowledge of CASS regulations, CASS policies.
  • Maintain and review of the CASS RP pack to include the effectiveness of the tool under test insolvency scenarios.
  • To assist the CF10A in the review and revision of policies and procedures so they remain up-to-date and legislatively compliant in respect of CASS requirements.
  • To complete the assessment of, and monitoring and adherence to current CASS processes and controls.

Experience and Skills required:

  • A strong compliance background from a trading house or bank.
  • Strong knowledge of CASS regulations / policies and controls.
  • Experience of systems / process improvements.
  • Experience working closely with compliance, risk and internal / external auditors.

If you wish to be considered for this role please apply now.

Apply now
Clients Get in touch
0207 199 6263
finding the right person for the right role

Get in touch
0207 199 6263
finding the right person for the right role