CASS Compliance Analyst

1 week ago

Bristol, Bristol, United Kingdom FNZ Group Full time
About the Role

We are seeking a highly skilled CASS Regulatory Expert to join our team at FNZ Group. As a key member of our organization, you will play a critical role in ensuring the effective management of CASS (Client Assets Sourcebook) matters within our business.

Key Responsibilities
  • CASS Oversight
    • Provide expert consultancy to stakeholders across the business on CASS matters.
    • Challenge the business on CASS management policies and procedures to ensure compliance.
    • Work closely with the Head of CASS Oversight to maintain a strong CASS control environment.
    • Develop and maintain daily/weekly CASS MI to alert senior management to CASS issues.
    • Review and develop CASS control framework and FRC CASS controls matrix.
    • Provide CASS technical input into new business initiatives and propositions.
    • Represent FNZ Group in client CASS forums and committees.
    • Ensure CASS policies and procedures remain aligned with regulatory requirements.
    • Review risk events for potential CASS impact and work with the Head of CASS Oversight to ensure mitigation.
    • Facilitate understanding of CASS regulatory developments among management and employees.
    • Assist in the development and delivery of CASS training programs.
  • Managing Relationships
    • Support and challenge key business stakeholders on CASS management reporting.
    • Work with external and internal auditors during CASS audits.
    • Collaborate with the Risk function to ensure CASS risk is adequately captured.
  • Managing Process and Administration
    • Advise and guide senior management and employees on CASS regulatory issues.
    • Evaluate CASS regulatory risk exposure related to new business activities.
  • Team Working
    • Share ideas to enhance cross-team learning and business development.
    • Build and maintain relationships with internal and external parties.
    • Support the team's efforts to succeed.
    • Balance team and individual responsibilities.
    • Exhibit objectivity and openness to others' views.
  • Maintaining Operational and Company Standards
    • Support the organization's goals and values.
    • Encourage and drive quality and continuous improvement of processes.
    • Ensure CASS practices are compliant with regulatory bodies' expectations.
  • Personal Effectiveness
    • Manage time effectively and prioritize work.
    • Take ownership of workload and be proactive in approach.
    • Communicate effectively with stakeholders.
    • Analyse and problem-solve complex regulatory information.
    • Work under pressure and adapt to change.

This role is critical in ensuring the effective management of CASS matters within FNZ Group. The successful candidate will have excellent communication, relationship management, and influencing skills.

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