CASS Operations Lead

4 weeks ago

London, Greater London, United Kingdom Plum Fintech Full time

About Plum

At Plum, our mission is to enhance financial well-being for everyone. We strive to make saving seamless and investing accessible to all.

Since our inception in 2017, we have been pioneers in utilizing artificial intelligence and automation to streamline personal finance. Today, we proudly report that we have assisted individuals in saving £2 billion across 10 European markets.

Recognized as the UK's fastest-growing fintech by the Deloitte Technology Fast 50, our achievements are a testament to the commitment and enthusiasm of our diverse workforce. With over 180 talented individuals based in our offices, we are dedicated to empowering people to manage their finances more effectively. Our team is expanding, and we are looking for exceptional talent.

Position Overview

We are in search of a skilled and results-oriented CASS Operations Manager with extensive experience in reconciliation processes and CASS regulations. This role will involve overseeing and managing reconciliations for our various investment products. As the subject matter expert, you will spearhead the implementation and enhancement of Plum's CASS system and investment operations reconciliations. This is a unique opportunity to influence a vital aspect of our investment product strategy and elevate our operational systems.

Key Responsibilities:

  • Manage daily CASS and investment operations reconciliations, focusing on ISA and SIPP products.
  • Develop and optimize internal processes to ensure adherence to CASS requirements regarding client money handling, segregation, and reconciliation.
  • Detect discrepancies in reconciliations, investigate underlying causes, and execute corrective measures. Collaborate with cross-functional teams to resolve complex challenges.
  • Create a reliable source for client asset positions and client money valuation data.
  • Compile and present comprehensive reports on reconciliation activities, including discrepancies and compliance status, to senior management and regulatory authorities as necessary.
  • 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 assessments.
  • 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 solutions that address user needs while complying with CASS regulations and reconciliation processes.
  • Serve 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 related frameworks, liaising with Compliance regarding CASS regulatory adherence.

Qualifications:

  • Minimum of 3 years of proven experience in a reconciliation or similar role, particularly with CASS products.
  • Thorough understanding of CASS regulations, especially CASS 6 and 7.
  • Strong analytical and problem-solving abilities, with proficiency in data models and analysis (SQL knowledge is advantageous).
  • Prior experience with reconciliation software.

Benefits at Plum:

  • Equity ownership through stock options.
  • Annual training budget for professional development.
  • Flexible remote working policy, 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.
  • Employee referral bonuses.
  • Paid volunteer leave to support community engagement.
  • Enhanced parental leave benefits.
  • Annual team-building trips to undisclosed locations.

If you believe you align with our values and possess the required skills, we encourage you to explore this opportunity further.

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, non-disqualifying physical or mental disability, national origin, or any other basis covered by applicable law. All employment decisions are based on qualifications, merit, and business needs.

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