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CASS Audit Lead

2 months ago

Manchester, United Kingdom AJ Bell Full time
About the Role

We are seeking a highly skilled CASS Audit Lead to join our team at AJ Bell, a leading investment platform business in the UK. As a CASS Audit Lead, you will play a critical role in ensuring the company's compliance with the CASS (Client Assets Sourcebook) regulations.

Key Responsibilities
  • Lead and Coordinate External CASS Audits: Ensure audits are delivered in accordance with the audit plan, coordinate audit activities, provide management information, and track audit actions through to closure.
  • Manage Inter-Dependencies between CASS and Statutory Audits: Work closely with external audit teams and internal business areas to ensure audit work is managed efficiently and effectively.
  • Provide CASS Technical Support: Offer technical support to internal business areas and external audit teams as required.
  • Monitor Audit Progress and Resources: Highlight inefficiencies, risks, and issues, and prepare and maintain management information, including status reports and end-stage assessments.
  • Action Tracking and Reporting: Track and report on audit actions and progress.
  • Support the Firm's Wider CASS Function: Provide regular audit status updates, undertake root cause and trend analysis, and support the delivery of training to operational teams.
Requirements
  • Strong CASS Understanding and Knowledge: Particularly of chapters 6, 7, 8, and 10 of the CASS handbook.
  • Previous Audit/CASS Audit Experience: Proven experience in leading and coordinating external CASS audits.
  • Strong Planning and Organisation Skills: Ability to effectively manage cross-functional teams and coordinate work to be undertaken by different teams and departments.
  • Excellent Communication Skills: Ability to communicate effectively with internal and external stakeholders.
  • Good Understanding of Financial Services: Knowledge of the financial services industry and regulatory requirements.
About AJ Bell

AJ Bell is a leading investment platform business in the UK, offering a range of solutions for professional financial advisers and DIY investors. We have over 528,000 customers using our award-winning platform propositions to manage assets totalling more than £83.7 billion. We are committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and all employees are empowered to bring their whole self to work.