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CASS Audit Lead

2 months ago

Manchester, United Kingdom AJ Bell Full time

About the Role:

AJ Bell is seeking a highly skilled CASS Audit Lead to join our team and play a key role in ensuring the company's compliance with regulatory requirements. As a CASS Audit Lead, you will be responsible for leading and coordinating external CASS audits, ensuring audits are delivered in accordance with the audit plan, and providing appropriate management information and tracking audit actions through to closure.

Key Responsibilities:

  • Develop and maintain a deep understanding of CASS regulations, including chapters 6, 7, 8 & 10 of the CASS handbook.
  • Lead and coordinate external CASS audits, ensuring audits are delivered in accordance with the audit plan.
  • Provide management information and track audit actions through to closure.
  • Work closely with external audit teams and internal business areas to ensure audit work is managed efficiently and effectively.
  • Plan and facilitate audit walkthroughs with external auditors and internal business areas.
  • Take ownership of and manage sample requests from auditors, liaising with business areas to provide relevant evidence.
  • Perform a final quality review of audit evidence before submission to the auditor.
  • Monitor overall progress of the audit and resources, highlighting inefficiencies, risks and issues.
  • Prepare and maintain appropriate management information, including status reports and end-stage assessments.
  • Action tracking and reporting.
  • Production of a quarterly aggregated breach schedule report, including rule mapping.
  • Identify areas for improvement and proactively make recommendations for change.

Additional Responsibilities:

  • Support the firm's wider CASS function by providing regular audit status updates to CASS Forum and other forums and committees.
  • Undertake root cause and trend analysis to enable the production of management information.
  • Provide support and assist in the delivery of training to operational teams.
  • Support change initiatives, assessing the impact on CASS processes.
  • Represent the CASS team in relevant discussions and meetings.

Requirements:

  • Strong CASS understanding and knowledge, particularly of chapters 6, 7, 8 & 10 of the CASS handbook.
  • Previous audit/CASS audit experience.
  • Strong planning and organisation skills.
  • The ability to effectively manage cross-functional teams and co-ordinate work to be undertaken by different teams and departments.
  • Experience working with Microsoft Office, including Excel, Word and PowerPoint.
  • Excellent problem solving and decision-making skills with the ability to compile and evaluate data for decision making.
  • Excellent communication skills both verbal and written.
  • Good understanding of financial services.
  • The ability to work well under pressure.

About AJ Bell:

AJ Bell is one of the fastest-growing investment platform businesses in the UK, offering an award-winning range of solutions that caters for everyone, from professional financial advisers to DIY investors with little to no experience. We have over 503,000 customers using our award-winning platform propositions to manage assets totalling more than £80.3 billion. Our customers trust us with their investments, and by continuously striving to make investing easier, we aim to help even more people take control of their financial futures.

As a FTSE 250 company, we are committed to delivering exceptional customer service and providing a supportive and inclusive work environment for our employees. We offer a range of benefits, including a starting salary of £45,000 - £50,000 (dependent on experience), generous holiday allowance, hybrid working policy, and opportunities for professional development and growth.