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CASS Regulatory Expert

2 months 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 within 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.
    • Provide CASS technical input and challenge at the CASS Committee.
  • 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 using appropriate language and style.
    • Demonstrate self-awareness and identify personal strengths and areas for development.
    • Analyse and problem solve effectively.
    • Work under pressure and maintain a calm and professional manner.
    • Be flexible to change and eager to improve and develop new skills.