CASS Operations Manager

2 days ago

London, Greater London, United Kingdom Plum Fintech Full time
About the Role

We are seeking an experienced and results-driven CASS Operations Manager to oversee and manage reconciliations across our different investment products. As the subject matter expert, you will take the lead in implementing and developing Plum's CASS system and investment operations reconciliations.

Key Responsibilities
  • Oversee and manage day-to-day CASS and investment operations reconciliations, including ISA and SIPP products.
  • Build and refine internal processes and systems to ensure compliance with CASS requirements for handling client money, segregation, and reconciliation.
  • Identify discrepancies and issues in reconciliations, investigate root causes, and implement corrective actions. Collaborate with other teams to resolve complex issues.
  • Establish a golden source for client asset position and client money valuation data.
  • Prepare and present detailed reports on reconciliation activities, including any discrepancies, and compliance status to senior management and regulatory bodies as required.
  • Continuously review and improve reconciliation processes and controls to enhance efficiency, accuracy, and compliance.
  • Ensure proper documentation of reconciliation activities and maintain records for audit purposes. Coordinate with internal and external auditors during reviews and audits.
  • Monitor and assess risks related to client assets and reconciliation processes, implementing controls to mitigate potential issues.
  • Work with the Operations teams to define tooling and processes for reconciliations and data breaks and support their day-to-day management and resolution.
  • Work closely with the Product team and collaborate on building products that solve user problems that are compliant with CASS regulations and reconciliation processes.
  • Act as the main point of contact for all issues, incidents and gaps which may arise related to CASS and reconciliations.
  • Manage relationships with third-party service providers involved in the reconciliation process. Conduct regular reviews and assessments of third-party performance.
  • Strengthen our CASS governance and other relevant frameworks and liaise with Compliance in relation to CASS regulatory compliance.
Requirements
  • Proven experience of 3+ years in a reconciliation or similar role, with a focus on CASS products.
  • In-depth knowledge of CASS regulations, particularly CASS 6 and 7.
  • Strong analytical and problem-solving skills and are comfortable with data models and data analysis (SQL knowledge is a plus).
  • Previous experience with reconciliation software.
What We Offer
  • We're all in this together Own part of the company through stock options.
  • Private health insurance.
  • Annual training budget.
  • Flexible approach to remote working, though we encourage at least 2-3 days a week in our office for optimal collaboration.
  • Team breakfast on Tuesdays and team lunch on Thursdays in the office, as well as a plentiful supply of fruit, snacks and coffee.
  • Free Plum Premium subscription.
  • 2 weeks paid sabbatical after four years of service.
  • 25 days holiday a year, excluding bank holidays.
  • 45 days work from anywhere.
  • Employee referral scheme up to £4000.
  • 1 day paid leave for volunteering, supporting you giving back to society.
  • Enhanced parental leave.
  • Team trip to secret destinations once a year.

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