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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. As a key member of our CASS function, 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
  • CASS Audit Leadership: Lead and coordinate external CASS audits, ensuring audits are delivered in accordance with the audit plan.
  • CASS Governance: Understand in detail how CASS applies to AJ Bell group entities, including CASS governance and the controls in place to ensure client money and assets are segregated and protected.
  • IT Controls: Understand the firm's systems and IT controls that support the firm's adherence to CASS.
  • Audit Management: Manage external audits from planning through to fieldwork, testing, reporting, and closure.
  • Inter-Dependency Management: Manage inter-dependencies between CASS and Statutory audits.
  • Cross-Functional Collaboration: Work closely with external audit teams and internal business areas to ensure audit work is managed efficiently and effectively from start to finish.
  • Audit Support: Provide CASS technical support as required, including planning and facilitating audit walkthroughs with external auditors and internal business areas.
  • Sample Requests: Take ownership of and manage sample requests from auditors, liaising with business areas to provide relevant evidence.
  • Quality Review: Perform a final quality review of audit evidence before submission to the auditor.
  • Progress Monitoring: Monitor overall progress of the audit and resources, highlighting inefficiencies, risks, and issues.
  • Management Information: Prepare and maintain appropriate management information, including status reports and end-stage assessments.
  • Action Tracking: Action track and report on audit findings.
  • Breach Schedule Report: Produce a quarterly aggregated breach schedule report, including rule mapping.
  • Process Improvement: Identify areas for improvement and proactively make recommendations for change.
About Us

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.