Asset Compliance Specialist

2 weeks ago

Manchester, United Kingdom AJ Bell Management Limited Full time
{"CASS Audit Lead Role Overview

As part of the Asset Audit Team, the CASS Audit Lead will be responsible for leading and coordinating external CASS audits. The role involves ensuring audits are delivered in accordance with the audit plan, coordinating audit activities, providing appropriate management information, and tracking audit actions through to closure.

Key Responsibilities:

  2. Understanding 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.
  3. Responsible for managing external audits from planning through to fieldwork, testing, reporting, and closure.
  4. Managing inter-dependencies between CASS and Statutory audits.
  5. Working closely with external audit teams and internal business areas to ensure audit work is managed efficiently and effectively from start to finish.
  6. Planning and facilitating audit walkthroughs with external auditors and internal business areas.
  7. Performing a final quality review of audit evidence before submission to the auditor.
  8. Monitoring overall progress of the audit and resources, highlighting inefficiencies, risks, and issues.


In addition, the CASS Audit Lead will support the firm's wider CASS function by:



  2. Providing regular audit status updates to CASS Forum and other forums and committees.
  3. Undertaking root cause and trend analysis to enable the production of MI.
  4. Providing support and assisting in the delivery of training to operational teams.
  5. Strong planning and organisation skills.
  6. Experience working with Microsoft Office, including Excel, Word, and PowerPoint.
  7. Excellent problem-solving and decision-making skills with the ability to compile and evaluate data for decision making.
  8. Good understanding of financial services.




About AJ Bell Management Limited

AJ Bell is one of the fastest-growing investment platform businesses in the UK offering an award-winning range of solutions that caters for everyone, from professional financial advisers to DIY investors with little to no experience. We have over 528,000 customers using our award-winning platform propositions to manage assets totalling more than № 83b.

What We Offer:


  2. Starting holiday entitlement of 26 days, increasing up to 31 days with length of service.
  3. Holiday buy and sell scheme.
  4. A choice of pension schemes with matched contributions up to 7%.
  5. Discretionary bonus scheme.
  6. Annual free share awards scheme.
  7. Health Cash Plan – provided by Medicash.
  8. Discounted private healthcare scheme and dental plan.
  9. Free gym membership, with an on-site gym providing a wide range of free classes.
  10. Employee Assistance Programme.
  11. Sick pay pledge.
  12. Enhanced maternity, paternity, and shared parental leave.
  13. Discounted nursery fees at Kids Planet on Exchange Quay.
  14. Loans for travel season tickets.
  15. Charitable giving opportunities through salary sacrifice.
  16. Calendar of social events, including monthly payday drinks, annual Christmas party, summer party, and much more.
  17. Ongoing technical training.
  18. Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off.


We are an equal opportunities employer and welcome applications from all qualified candidates.



Join Our Team

We do not discriminate on the basis of race, sex, gender identity, sexual orientation, age, pregnancy, religion, physical and mental disability, marital status, and any other characteristics protected by the Equality Act 2010.

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