Cass Oversight Manager

7 days ago

London, United Kingdom eFinancialCareers Full time

**About Columbia Threadneedle Investments**
You'll find the promise we make to our clients is the same one we make to our employees: Your success is our priority.
Here, you'll find growth and career opportunities across all our businesses. We're intentionally built to help you succeed. Our reach is expansive with a global team of 2,000 people working together. Our expertise is diverse with more than 450 investment professionalssharing global perspectives across all major asset classes and markets. Our clients have access to a broad array of investment strategies and we have the capability to create bespoke solutions matched to clients' specific requirements.
We appreciate that work-life balance is an important factor for many when considering their next move so please discuss any flexible working requirements directly with your recruiter.
**Job Purpose Statement**
Where you'll fit in & what our team goals are....
You will, at times deputise for the Head of CASS in providing first line oversight and support on all CASS related matters.
You'll also be responsible for developing, implementing and maintaining an effective first line control framework to ensure compliance with CASS and CMAR reporting regulations.
**Role Responsibilities**
**How you'll spend your time....**:

- Oversight of CASS activities and processes performed by our outsourced partners.
- Work with the CASS Oversight team to develop and maintain, on a regular basis, all relevant procedures and policies in particular working with the second line to stay on top of any new CASS related regulation.
- Proactive identification and management of any CASS related regulatory risks including internal and external breaches.
- Develop and maintain a CASS control/oversight framework inc:

- Ensure outsourced providers CASS processes and controls are detailed and in line with business and regulatory requirements
- Review of CM and Asset Reconciliations
- Review of CMAR returns
- Periodic review of CASS resolution packs
- Manage and supervise the content of all retail complaints to measure and CASS Impact
- Ensure all regulatory returns are submitted accurately and on time
- Maintain the internal control framework and associated tasks and risks
- Support the Head of CASS with all CASS internal and external audits and associated liaison with external suppliers
- Help support and handle the CASS oversight team.
- Review all CASS related breaches and near miss incidents
- Assess if reportable to the FCA
- Ensure supplier (or internal) remediation is achieved where appropriate
- Attendance at:

- Supplier CASS workshops and forums
- CASS Regulatory updates
- CASS Courses/Training
- Internal CASS Governance committee meetings, deputising for the Head of CASS
**Key Capabilities**
**To be successful in this role you will have....**:

- Detailed knowledge and understanding of the CASS and CMAR regulatory requirements
- An understanding of the operational processes performed by TA providers
- Experience of managing CASS processes provided by TA providers
- Experience of CASS and operational processes of an asset management business
- Excellent communication and influencing skills
- Effective relationship management with internal and external stakeholders
- The ability to perform an oversight role and report effectively on the findings

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