CASS Oversight Manager

2 weeks ago

London, United Kingdom Robert Walters Full time

Looking for a CASS Oversight Specialist & experienced people leader. Please reach out if: - you have 10+ years working with CASS 6 & 7. - have covered CASS Reporting, Audit, Projects, Analysis of breaks (root cause analysis), and have handled changes in relation to CASS Reporting. - have led teams of 5+ in the past.

CASS OVERSIGHT MANAGER

PRIMARY RESPONSIBILITIES:

Regulatory

  • Responsible for the collation (including upkeep of documentation) and accurate submission of the CMAR (Client Money Asset Return) on a monthly basis to the FCA.
  • Conduct & chair meetings alongside the CF10a & senior management giving detailed explanation of the content of the monthly CMAR submission.
  • Ensure the CASS policies & procedures are compliant with regulatory requirements and provide sufficient control and oversight to the client asset rules from a Transaction Management perspective.
  • Fully understand systems and processes resulting in the ability to perform a detailed assessment of where CASS impacts may arise as a result of new products & processes being implemented.
  • Support the CASS rules mapping process to ensure that the relevant rules are mapped to the appropriate business process.
  • Monitor regulatory changes identifying business impacts and ensure appropriate changes are made so the business remains fit for purpose.
  • Act as a CASS Champion for the Oversight team in UK Operations ensuring attendance at meetings, discussing CASS breaches and cascading feedback to the team of relevant updates/changes.
  • Prepare and document monthly CASS Attestations for the Director for sign off.
  • Responsible for daily investigation and collation of the Shortfall Management process including MI for CASS Team and senior management.

Governance / Performance Oversight:

  • Review regional Oversight Governance Framework document annually or as required focusing on areas of responsibility.
  • Review Management Information relevant to agreed team KPIs highlighting issues and challenging appropriately.
  • Chair or participate in local meetings with outsourced/offshored providers, ensuring a clear agenda exists.
  • Produce or ensure production of minutes of actions, decisions and agreed escalations.
  • Undertake sample testing / spot checks including retention of evidences for the same to quality assure performance being delivered by Processing Location.
  • Perform annual due diligence surveys and visits to both Outsourced and Offshored providers (if necessary).
  • Clearly documented Escalation Decision Trees and Criteria.
  • Prepare documentation for local Oversight (internal committee meetings) ensuring minutes are recorded and distributed within 2 days of the meeting.
  • Prepare documentation for quarterly regional Senior Management Oversight meeting ensuring minutes are recorded and distributed within agreed deadlines.
  • Ensure issues identified in BAU or as part of an internal/external audit in relation to Oversight are tracked through to conclusion ensuring deadlines are met.
  • Partner with colleagues across Operations Control, Compliance, CASS reconciliations and other functions to ensure regulatory requirements meet the current and future regulations.
  • Manage the development of best practices by promoting this culture within all Oversight meetings with Service Providers.
  • Liaison in relation to Oversight matters with internal / external auditors and regulators if appropriate.
  • Successful resolution of all points raised in internal/external audits in relation to Oversight activities.
  • Attend relevant business forums and committees to note and challenge any items that may impact the Oversight function.
  • Maintain oversight of all outsourced/offshored related operational activities and manage all related issues to successful resolutions.
  • Build and maintain an understanding of systems and processes resulting in the ability to perform a detailed assessment of where Operational Oversight issues may arise as a result of new products and processes being implemented.
  • Set up and manage key relationships with relevant departments and employees to ensure required understanding of the Oversight model and management information is delivered on time.
  • To develop enhanced key performance measures to enable senior management to make decisions.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates

  • Cass Oversight Analyst 6 Month Ftc

    7 days ago

    London, United Kingdom Nelson Scott LLP Full time

    The CASS & Regulatory oversight function is responsible for overseeing the operational regulatory reporting that is undertaken by the business including CASS, CSDR, FATCA, MiFID Transaction Reporting and HMRC / (ISA) reporting. This role is to provide technical CASS expertise and challenge / oversight within our business lines. RESPONSIBILITIES - Ensuring...

  • Cass Specialist

    4 weeks ago

    London, United Kingdom Trading212 Full time

    **THIS IS A 12 MONTH MATERNITY COVER** **What you’ll do**: - Perform and own the daily reconciliations for client money (CASS 7) and safe custody assets (CASS 6). - Identify, allocate, investigate and narrate discrepancies, variances, and anomalies in reconciliation processes. - Collaborate with internal teams to resolve discrepancies and implement...

  • Cass Adherence Associate

    4 weeks ago

    London, United Kingdom UBS Full time

    United Kingdom - Investment Banking, Operations, Risk - Investment Bank **Job Reference #** - 290051BR **City** - London **Job Type** - Full Time **Your role** - Do you have an eye for detail? Do you thrive in a dynamic and collaborative environment? - We're looking for someone like that to: - play a central role in ensuring the firm delivers on our Key...

  • CASS/FinOps Manager

    1 month ago

    London, Greater London, United Kingdom Seedrs Full time

    CASS/FinOps Manager (Maternity Cover)Contract: 9-12 monthsIn 2021, Seedrs joined forces with Republic to accelerate their shared mission to democratise access to investing, capital raising, and community building. Seedrs operates the European arm of Republic's global marketplace.We are looking for a CASS/FinOps manger to oversee the CASS team as well as get...

  • CASS/FinOps Manager

    3 weeks ago

    London, Greater London, United Kingdom Seedrs Full time

    CASS/FinOps Manager (Maternity Cover) Contract: 9-12 months In 2021, Seedrs joined forces with Republic to accelerate their shared mission to democratise access to investing, capital raising, and community building. Seedrs operates the European arm of Republic's global marketplace. We are looking for a CASS/FinOps manger to oversee the CASS team as well as...

  • CASS Senior Manager

    4 weeks ago

    London, United Kingdom KPMG-UnitedKingdom Full time

    Job description KPMG Overview: Joining KPMG means joining a talented team of exceptional colleagues who bring innovative thoughts and a natural curiosity to the work they do each day. No one type of person succeeds at KPMG; a diverse business requires diverse personalities, characters, and perspectives. There really is a place for you here. Job...

  • CASS Senior Manager

    4 weeks ago

    London, United Kingdom KPMG Full time

    Job description KPMG Overview: Joining KPMG means joining a talented team of exceptional colleagues who bring innovative thoughts and a natural curiosity to the work they do each day. No one type of person succeeds at KPMG; a diverse business requires diverse personalities, characters, and perspectives. There really is a place for you here.   ...

  • Senior CASS Analyst

    2 days ago

    London, United Kingdom McLean HR Full time

    Benefits; Bonus, Private Health, Life Insurance, Pension + 25 Days Annual Leave A fantastic opportunity to join a boutique wealth management firm in the City of London. The business is continuing to evolve, and we are looking for a CASS Analyst to join the team. This role sits within the centralised Operations function with a primary focus on client money...

  • CASS Experienced Audit Manager

    1 month ago

    London, United Kingdom Grant Thornton Full time

    Job Description : You already know what a CASS or Audit Manager does, so we want to tell you what it’s like to work at Grant Thornton, and what can we offer you that others don’t.  Why Audit at Grant Thornton Our UK audit practice is built of over 2300 people working across 24 locations, led by Fiona Baldwin and supported by 50 audit partners....

  • CASS Experienced Audit Manager

    3 weeks ago

    London, Greater London, United Kingdom Grant Thornton UK Full time

    More than you expected Grant Thornton UK LLP is part of a global network of independent audit, tax and advisory firms, made up of some 58,000 people in over 135 countries. We're a team of independent thinkers who put quality, inclusion and integrity first. All around the world we bring a different experience to our clients. A better experience. One that...

  • CASS Experienced Audit Manager

    1 month ago

    London, United Kingdom Grant Thornton LLP Full time

    More than you expected Grant Thornton UK LLP is part of a global network of independent audit, tax and advisory firms, made up of some 58,000 people in over 135 countries. We're a team of independent thinkers who put quality, inclusion and integrity first. All around the world we bring a different experience to our clients. A better experience. One...

  • Audit Manager

    2 days ago

    London, United Kingdom BDO Full time

    Audit Manager - CASS - Financial Services Audit Manager - CASS - Financial Services Ideas | People | Trust We’re BDO. An accountancy and business advisory firm, providing the advice and solutions entrepreneurial organisations need to navigate today’s changing world. We work with the companies that are Britain’s economic engine - ambitious,...

  • Audit Manager – CASS – Financial Services

    4 weeks ago

    London, United Kingdom BDO UK Full time

    Audit Manager – CASS – Financial Services Ideas | People | Trust We’re BDO. An accountancy and business advisory firm, providing the advice and solutions entrepreneurial organisations need to navigate today’s changing world. We work with the companies that are Britain’s economic engine – ambitious, entrepreneurially-spirited and...

  • Transfer Agency Oversight Analyst

    1 week ago

    London, United Kingdom Mayford James Full time

    Principal Responsibilities Responsible for supporting the overall relationship with third party Transfer Agents and related bank account providers, acting as a primary contact for both internal and external stakeholders. Responsible for the investigation and resolution of day-to-day operational queries, issues, and incidents Execute on activities from the...

  • Transfer Agency Oversight Specialist 12 months FTC

    6 days ago

    London, United Kingdom Mayford James Full time

    Our client a leading Asset Manager require an experienced Transfer Agency Oversight Analyst. You will be responsible for supporting the overall monitoring and management of the performance of third-party Transfer Agents and Bank Account Providers across the UK and Luxembourg. The ideal candidate will execute and provide support on internal activities and...

  • Transfer Agency Oversight Specialist 12 months FTC

    6 days ago

    London, United Kingdom Mayford James Full time

    Job DescriptionOur client a leading Asset Manager require an experienced Transfer Agency Oversight Analyst. You will be responsible for supporting the overall monitoring and management of the performance of third-party Transfer Agents and Bank Account Providers across the UK and Luxembourg. The ideal candidate will execute and provide support on internal...

  • Transfer Agency Oversight Specialist 12 months FTC

    7 days ago

    London, United Kingdom Mayford James Full time

    Our client a leading Asset Manager require an experienced Transfer Agency Oversight Analyst. You will be responsible for supporting the overall monitoring and management of the performance of third-party Transfer Agents and Bank Account Providers across the UK and Luxembourg. The ideal candidate will execute and provide support on internal activities and...

  • Transfer Agency Oversight Specialist 12 months FTC

    6 days ago

    London, United Kingdom Mayford James Full time

    Our client a leading Asset Manager require an experienced Transfer Agency Oversight Analyst. You will be responsible for supporting the overall monitoring and management of the performance of third-party Transfer Agents and Bank Account Providers across the UK and Luxembourg. The ideal candidate will execute and provide support on internal activities and...

  • Transfer Agency Oversight Specialist 12 months FTC

    2 days ago

    London, United Kingdom Mayford James Full time

    Job Description Our client a leading Asset Manager require an experienced Transfer Agency Oversight Analyst. You will be responsible for supporting the overall monitoring and management of the performance of third-party Transfer Agents and Bank Account Providers across the UK and Luxembourg. The ideal candidate will execute and provide support on internal...

  • Transfer Agency Oversight Specialist 12 months FTC

    7 days ago

    London, United Kingdom Mayford James Full time

    Our client a leading Asset Manager require an experienced Transfer Agency Oversight Analyst. You will be responsible for supporting the overall monitoring and management of the performance of third-party Transfer Agents and Bank Account Providers across the UK and Luxembourg. The ideal candidate will execute and provide support on internal activities and...