CASS Manager, Transfer Agency UK, Senior Executive

3 weeks ago

London, Greater London, United Kingdom State Street Full time

About the Role


We are seeking a highly skilled Transfer Agency Specialist to join our team in the UK. As a Vice President, you will be responsible for managing a CASS workstream, ensuring effective CASS oversight and governance, and leading external CASS audits and client CASS Due Diligence.



Key Responsibilities



  • Design and build a robust CASS model and operation for the UK Transfer Agency
  • Develop and maintain an effective CASS oversight and governance framework
  • Lead external CASS audits and client CASS Due Diligence
  • Contribute to the establishment of a new transfer agency team in the UK, providing expertise on the operating model, system configuration, operational readiness, and client service
  • Assist in the design and management of the Transfer Agency business in the UK
  • Partner with key stakeholders to build strong, collaborative relationships and drive the team to achieve key performance indicators (KPIs) and strategy goals
  • Provide supervision and direction to the team, ensuring internal and external client deliverables are met and quality customer service is maintained
  • Manage relationships with clients and stakeholders
  • Source, inspire, lead, and develop diverse talent
  • Monitor and communicate progress towards Transfer Agency targets and drive the team to achieve KRI's and strategy goals
  • Design, maintain, and oversee a comprehensive system of controls to identify, mitigate, and address potential business and operations risks in the region
  • Deliver risk excellence and comply with the highest ethical standards, ensuring adherence to legal, regulatory, compliance guidelines, and internal policies
  • Work with Risk Management, Compliance Officers, local Regulator, and Internal Auditors to ensure awareness of and preparedness for any areas of concern, plans for upcoming reviews, and follow up on ongoing issues
  • Act as Senior SME advising on CASS and FCA regulation
  • Analyse potential client money risk and identify mitigating controls
  • Ensure effective CASS and Client Money policies & procedures are in place
  • Ensure any CASS breaches are appropriately escalated, recorded, investigated, and root cause analysis conducted to avoid recurrence


Requirements


The ideal candidate will have extensive CASS compliance experience, expertise in Client Money and Custody Assets management, proven interpersonal and communication skills, strong managerial and cross-functional leadership skills, and the ability to achieve results with persistence and patience.


Experience working with operational teams to create scale while maintaining a strong control environment, expertise in project management and change management, and a proven track record in leading transformational change, driving continuous improvement, and demonstrating process excellence are also highly valued.


A Master's degree or professional certification in a related field, a minimum of 8 years of Transfer Agency leadership experience in a large, global financial services firm, and expertise in current trends and technical issues impacting the financial services industry, particularly within Transfer Agency, are required.



About State Street


State Street is one of the largest custodian banks, asset managers, and asset intelligence companies in the world. We provide investment servicing, data & analytics, investment research & trading, and investment management to institutional clients.


We make all efforts to create a great work environment, offering competitive and comprehensive benefits packages, flexible work programs, and a wealth of development programs and educational support to help you reach your full potential.

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