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CASS Operations Lead
2 months ago
About Plum
At Plum, our mission is to enhance financial well-being for everyone. We strive to make saving effortless and democratize investing.
Since our inception in 2017, we have leveraged artificial intelligence and automation to simplify personal finance. To date, we have facilitated savings of £2 billion across 10 European markets.
Recognized as the UK's fastest-growing fintech by Deloitte Technology Fast 50, our achievements are a testament to the dedication and enthusiasm of our diverse workforce. With over 180 talented individuals in our London, Athens, and Nicosia offices, we are committed to empowering individuals to manage their finances effectively. We are excited to expand our team.
Position Overview
We are looking for a skilled and results-oriented CASS Operations Manager with extensive experience in reconciliation processes and CASS regulations. This role involves overseeing and managing reconciliations for our various investment products. As the subject matter expert, you will lead the development and implementation of Plum's CASS system and investment operations reconciliations. This is a unique opportunity to influence a critical aspect of our investment product strategy and enhance our operational systems.
Key Responsibilities:
- Manage daily CASS and investment operations reconciliations, including ISA and SIPP products.
- Develop and refine internal processes to ensure compliance with CASS regulations regarding client money handling, segregation, and reconciliation.
- Identify and investigate discrepancies in reconciliations, determining root causes and implementing corrective measures. Collaborate with other teams to resolve complex issues.
- Establish a reliable source for client asset positions and client money valuation data.
- Prepare and present comprehensive reports on reconciliation activities, discrepancies, and compliance status to senior management and regulatory bodies as needed.
- Continuously assess and enhance reconciliation processes and controls to improve efficiency, accuracy, and compliance.
- Ensure thorough documentation of reconciliation activities and maintain records for audit purposes. Coordinate with internal and external auditors during reviews.
- Monitor risks associated with client assets and reconciliation processes, implementing controls to mitigate potential issues.
- Collaborate with Operations teams to define tools and processes for reconciliations and data discrepancies, supporting their daily management and resolution.
- Work closely with the Product team to develop compliant products that address user challenges in line with CASS regulations and reconciliation processes.
- Act as the primary contact for all issues, incidents, and gaps related to CASS and reconciliations.
- Manage relationships with third-party service providers involved in the reconciliation process, conducting regular performance reviews.
- Enhance our CASS governance and relevant frameworks, liaising with Compliance regarding CASS regulatory adherence.
Qualifications:
- Minimum of 3 years of experience in a reconciliation or similar role, with a focus on CASS products.
- Thorough understanding of CASS regulations, particularly CASS 6 and 7.
- Strong analytical and problem-solving abilities, with comfort in data models and analysis (SQL knowledge is advantageous).
- Prior experience with reconciliation software is preferred.
Benefits at Plum:
- Equity ownership through stock options.
- Annual training budget for professional development.
- Flexible remote working arrangements, with encouragement for in-office collaboration.
- Regular team meals and a variety of snacks and beverages available.
- Complimentary Plum Premium subscription.
- Paid sabbatical after four years of service.
- Generous holiday allowance, including bank holidays.
- Work-from-anywhere days available.
- Employee referral program with financial incentives.
- Paid leave for volunteering activities.
- Enhanced parental leave policies.
- Annual team-building trip to a surprise destination.
If you believe you are a fit for this role, we encourage you to reach out.
Best regards,
The Plum Team
* Plum is an Equal Opportunity Employer. We do not discriminate based on age, race, religion, sex, gender identity, sexual orientation, disability, national origin, or any other basis covered by law. All employment decisions are based on qualifications, merit, and business needs.
