CASS Oversight Officer

1 week ago

London, Greater London, United Kingdom SEI1GLOBAL Full time

Responsibilities

include but are not limited to:

› Supporting the Senior CASS Officer with External and Internal Audits, Compliance Reviews and any other reviews of the SIEL CASS infrastructure.
o Assist with the Data gathering and preparation for internal and external audits. Monitor, track and review requested documents and evidence collaborate in preparing teams for audit as appropriate.
o Managing the provision of documentation, testing material, arranging meetings, preparing analyses in response to findings and management letter points.
o Track and support the resolution of previous audit actions, preparing documentation and evidence as appropriate.
o Assist in the implementation of any remediation and ensuring, no overdue actions.
› Assisting the Senior CASS Officer in the ongoing development of the CASS Support Training Structure – development and making CASS training presentations.
› Monitor breaches and assess impact, root-cause analysis and remediation action as necessary, maintain and monitor breach register and related Risk Reporting (Accelerate) ie daily monitoring of Accelerate items related to CASS and regulatory operations.
› Assist in developing a structure that documents the firms adherence with the CASS rules for all of the rule book that applies. Create a program of maintenance and review for the material.
› Monitor changes to CASS rule book and asses impact to SIEL Infrastructure.
› Support Cass Outsourcing services

What we need from you:

› Degree (or equivalent) calibre with credible regulatory experience from an investment banking, wealth management or private banking industry;
› Good level of understanding of CASS rules and requirements.
› Knowledge of industry dynamics, business strategies, products and operating platforms would be advantageous;
› CASS Audit experience, Audit of Investment Banks or Investment Management Firms would be beneficial
› Proficient Word, Excel, Access and Outlook skills, with demonstrated experience in the development and maintenance of databases to analyse large amounts of information.


What we would like from you:

SEI's competitive advantage:

To help you stay energised, engaged and inspired, we offer a wide range of benefits including comprehensive care for your physical and mental well-being, strong pension plan, tuition reimbursement, hybrid working environment, and a work-life balance that enables you to relax, recharge and be there for the people you care about.

We are a technology and asset management company delivering on our promise of building brave futures (SM)—for our clients, our communities, and ourselves. Come build your brave future at SEI.

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