Cass Control

Fixed Term Contract Duration - 12 Months

About the Business

Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation.

Quilter oversees £126.3 billion in customer investments (as of August 2025). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two segments: Affluent and High Net Worth.

Affluent encompasses the financial planning business, Quilter Financial Planning, the Quilter Investment Platform and Quilter Investors, the multi-asset investment solutions business.

High Net Worth includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning - offering a highly personalised service to private clients, charities, trustees, and professional partners. Quilter Cheviot has presence throughout the UK, Ireland and Channel Islands.

At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve, including our colleagues.

Our business is transforming, continually modernising, and becoming even more customer centric. So, if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it’s the perfect time to join us

About the Role

Level: 4

Location: Southampton

Contract: Fixed Term Contract

Contract Duration: 12 months

The CASS Control & Assurance Specialist plays a pivotal role in supporting the Head of CASS Control and Assurance in delivering robust governance, independent assurance and oversight of CASS compliance across the Quilter Affluent Division entities, as well as any CASS activities outsourced to third-party administrators (TPAs) by those entities.

The role combines technical expertise with operational leadership, ensuring that monitoring and assurance activities are executed to the highest standard and that the team operates effectively on a day-to-day basis. Acting as the operational deputy for the Head of CASS Control & Assurance, the Specialist will act as the first point of escalation for operational issues, allocate work across the team, and oversee the delivery of monitoring and assurance activities, both internal and external; specifically including the management of the annual external CASS audit.

They will play a key role in supporting the development and performance of CASS Technicians, providing coaching, feedback, and inputting into training needs and capability assessments, in collaboration with the Head of CASS Control & Assurance. They will also exercise delegated authority to review and sign off MI packs and draft assurance reports prior to submission to the Head of CASS Control & Assurance.

This role requires strong collaboration with internal stakeholders and external partners, promoting a culture of accountability and continuous improvement.

The role also champions a strong CASS culture by embedding regulatory awareness, promoting ownership of client asset responsibilities, and driving behavioural change across operational teams and TPAs, ultimately ensuring the safeguarding of client money and assets across all relevant entities.

Key Responsibilities include:
Operational Leadership & Oversight
- Coordinate day-to-day operations of the CASS Control and Assurance team, ensuring effective work allocation and prioritisation aligned to business needs.
- Act as the first point of escalation for operational issues, providing guidance and support to CASS Technicians.
- Support team development by identifying training needs, promoting knowledge sharing, and contributing to performance and capability assessments.

Assurance Delivery
- Lead the execution of the CASS Assurance Plan, overseeing internal and external monitoring and assurance reviews.
- Ensure findings are clearly documented and actions are tracked through to completion.
- Maintain audit readiness and manage internal and external audit engagements to uphold a strong regulatory posture.

Risk Event Management
- Oversee accurate and timely logging of CASS risk events in the firm’s risk register.
- Investigate issues, identify root causes, and ensure prompt and effective resolution in collaboration with internal and external stakeholders.

Stakeholder Engagement & Culture Building
- Engage with internal teams and third-party administrators to embed a strong CASS culture.
- Champion behavioural change and ownership of client asset responsibilities across operational teams.

Reporting & Governance
- Contribute to the preparation and delegated approval of high-quality MI and assurance reporting for senior governance and board committees.
- Regular attendance at CASS Governance meetings
- Review and sign off MI packs