Cass Monitoring Officer

Equiniti provides the tools investors need to access the market and buy, sell, and hold investments in a cost-effective way. Our platforms provide a flexible choice of investments and account types with over 8,000 shares, Exchange Traded Funds, bonds, fundsand other assets, all available within a dealing account, ISA and SIPP. Our prices are fair and transparent so consumers can benefit from better net returns.

The CASS Monitoring Officer will assist the CASS Oversight Manager with daily, weekly, and monthly tasks. A primary responsibility of this position is to manage the breach logging process, investigations, remediation tracking, and preparation of the dailyclient money calculations.

This position would suit an individual with an open-minded approach to adhoc tasks.

**Core Duties/Responsibilities**
- Provide supporting services to the CASS Team, assisting with daily, weekly & monthly oversight activities and adhoc project work.
- Ownership of the breach logging, investigation, and remediation tracking.
- Preparation of daily and monthly MI.
- Investigate and confirm all funding decisions required for the daily client money calculation are compliant with CASS requirements, including appropriate challenge of evidence and understanding.
- Provide first line contact to the business for CASS rule interpretation and continue to drive CASS knowledge with worked examples, escalating to the CASS Manager as appropriate.
- Support production of the management information pack for the CASS Oversight committee.
- Support oversight and the continuous development of ISEM oversight, including the development of oversight challenge to the evidence provided.
- Support the CASS monitoring programme gaining and better understanding of Firm and outsourced activities (TPA oversight) utilising solid operational process experience and knowledge
- Support production of the monthly CMAR pack.
- Support with maintenance of CASS RP including assistance with attestations process
- Preparation of the daily client money calculation including oversight sign-off responsibilities when not preparing calculation.
- Ownership of annual CASS Policies review.
- Support maintenance of CASS RP framework including assisting with weekly CASS RP attestations process.
- Support with the opening of client money bank accounts
- Support the review and sign off process of due diligence performed on third parties holding client assets
- Support and assist with delivery of the CASS in-house training requirements
- Help support the activities undertaken by the Compliance and Internal Audit functions, second and third lines of defence, in respect of CASS and related matters.
- Provide a key contact and cover for the CASS Manager taking an active lead in the External CASS audit.
- Maintain awareness of market, industry and regulatory developments and how these may impact on EFSL’s CASS compliance.
- Develop and maintain effective working with colleagues in the Firm.
- When required provide project support ensuring own deliverables are on time and to specification.
- Always undertake the duties of this role in accordance with the requirements of the company’s regulators, including the FCA’s Principles for Businesses

**Skills & Knowledge and Qualification**
- Excellent IT skills especially knowledge of Microsoft Excel, Word and Outlook
- Self-organisation
- Self-motivation
- Analytical skills
- Project Management
- Change Management
- Good communication skills (both written and oral)
- Able to write reports /communicate with Directors and all levels within the business (both internally and externally)
- Organisational awareness
- Environmental awareness
- Procedural/Product/Specialist Knowledge
- Performance Review & Development

**EQ Benefits**:
Being a permanent member of the team at EQ you will be rewarded by our company benefits, these are just a few of what is on offer:

- 28 days annual leave + bank holidays
- Flexible benefit which you can use to 'purchase’ additional benefits which include, private health insurance, travel insurance, gym memberships and many more you can choose from, or get it paid your flexible benefit amount on top of your annual salary
- Life assurance x 4 of your annual salary
- Opportunity to join a great pension scheme
- Staff engagement - Opportunities to receive recognition and rewards.
- Great learning support