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Head of CASS

4 months ago

London, United Kingdom Axpe UK Full time

Job description


The Financial Services CASS audit function oversees a variety of market leading entities ranging from some of the largest investment banking groups, retail banking groups and brokers dealers to some of the largest traditional asset management groups in the UK.


Role and Responsibilities:


Supervising, mentoring, and coaching Audit staff

Managing partner involvement on engagements, providing progress reports as required

Acting as the initial point of contact throughout the year for your audited entities; manage timetables, anticipate costs, raise fees and agree dates for cash collection

Regularly and proactively communicating with senior stakeholders on relevant industry matters

Establishing and maintaining strong internal and external networks within the industry

Communicating with audited entities and subject matter experts on technical matters relevant to FS audits and CASS

Actively driving the planning of the audit, as well as the actual fieldwork at interim and final, statutory audit and completion work

Working on tenders and working as part of the relevant independence team

Be part of the Banking Audit department management group and drive firm’s strategic initiatives

Being the performance manager


Qualifications and Skills


Recent and significant CASS audit experience at a Big 4 or mid-tier firm

Knowledge of developments within the FS sector and proven ability to proactively build strategic partnerships and influence senior leaders

Drive and resilience to deliver in a pressured environment

Excellent communication skills and ability to challenge, and deal with senior individuals.

Proven project management skills, including good judgement and knowing when to escalate.

Good knowledge of CASS 6, CASS 7, CASS 8 and CASS 10.

Sound FS, including banking, sector understanding of businesses, structures, governance frameworks and process & control infrastructures of firms.

Ability to work under pressure and meet tight deadlines.

Experience and Background


Educated to degree level or equivalent.

Professional qualification preferred, however not a requirement, with good knowledge of regulatory rules and guidance but crucially the practical application within the investment management industry.

The ability to evaluate technical issues, analyse facts, consult and deliver high quality audits to audited entities.

Excellent communication and presentation skills; including an ability to communicate well with audited entities and external parties in writing and verbally.

Understanding of regulatory developments and key current issues facing audited entities.

Experience in working with teams and the ability to work independently.

Extensive experience working in the CASS industry.