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CASS Assurance Specialist
2 months ago
We are seeking a highly skilled CASS Assurance Specialist to join our CIB operations team. As a key member of our team, you will play a crucial role in supporting projects, taking ownership, and creating high-quality working documents. Your responsibilities will include ensuring compliance by responding to consultations and implementing necessary changes to CASS policies, procedures, processes, and systems.
Key Responsibilities- Support projects, take responsibility, and produce high-level working documents.
- Support Compliance with responses to consultations and implement the necessary changes to CASS policies, procedures, process, and systems.
- Support in the delivery of required regulatory changes projects or business initiatives in relation to CASS.
- Understand and challenge business processes and controls and be able to document them back to the CASS rule book.
- Oversight of US-based Operations teams performing CASS-impacting functions, including reviewing processes and controls, undertaking QA, sample testing, and/or collating data in a timely fashion to ensure compliance with relevant FCA rulebooks (CASS, COBS, SYSC, etc.).
- Perform due diligence of client money banks and brokers, including onsite visits where necessary.
- Provide Management Information to CASS stakeholders (e.g., CF10a, CASS Control and Compliance functions).
- Contribute to the delivery of timely and accurate reporting to regulators and the firm's board.
- Work with Operational Risk team to identify all Operational Risk considerations in relation to CASS and related functions/processes.
- Attend industry conferences/events, networking, and roundtables in relation to CASS.
- Experience in CASS Assurance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
- Comprehensive and technical knowledge and understanding of CASS rules and application/treatment in relation to CASS 1, 3, 7, 9, and 10 rule sets.
- A working and detailed knowledge/understanding of CASS rules and application and impact of Banking Exemption.
- Understanding of Settlement and Corp Action events in relation to MiFID II eligible products and impact on treatment as Client Money events.
- Previous track record in process improvement with a view to developing/enhancing controls.
- Assertiveness: the candidate will be expected to challenge Operations and Business teams globally to obtain required data and/or information.
- Experience of producing MI, KPIs, and reviews in accordance with SLAs.
- Presenting to senior management and stakeholders.
- Solid communication/organizational skills - to work with local and remote Operations and Compliance/CASS Control stakeholders.
- Product knowledge of the Broker/Dealer business and Futures, Derivatives/Fixed Income, and Equities spaces.
- Good Excel, Word, SharePoint, and PowerPoint skills.
