Cass Oversight Lead

5 days ago

London, United Kingdom CRS Ltd Full time

My client is an established / profitable Fintech with a fantastic 9 yrs of trading in the UK behind them - After closing large funding round and hitting 100 people they are now in scale up mode creating an exciting time to join the business.

They are B2C focused with motivations of allowing consumers to understand all of their ‘ wealth’ and ‘financial needs’ in one place - This started with savings, now investments and is going to continue growing as they develop.

They have large goals for 2025 inc 4X customer base in the UK & a large part of this will come from the ability to offer strong interest rates to customers through forming our Treasury remit.

As the Treasury desk grows, we are looking for a talented CAAS oversight lead to join - We are open on Head of or Manager level ( this will depend on holding prescribed responsibility)

They key to success in the role is to be excited about building, finding the solution & being proactive in your approach

**As the CASS Oversight Lead your responsibilities and duties will include**:

- Ongoing compliance testing and oversight of Client Money and Assets (CASS) processes, overseeing reconciliations, reviewing shortfalls, developing CASS reconciliations and controls.
- Ensure accurate monthly Client Money and Asset Returns (CMAR).
- Ensure the CASS Resolution Pack remains complete and fit for purpose.
- Maintenance and review of all policy and procedure documents related to CASS.
- Assist with the co-ordination of the annual external CASS audit.
- Develop and maintain appropriate and effective MI and KPIs for CASS Compliance.
- Ensure CASS breaches are appropriately recorded, reported and escalated to senior management and root cause analysis is conducted to prevent future recurrence.
- Advise on CASS risk and assist in Risk and Control Self-Assessments (RCSAs) and Internal Capital Adequacy and Risk Assessment (ICARA) preparation.
- Draft and review due diligence on key counterparties, bank and custodian account opening ensuring it is kept up to date.
- Assessment of organisational and regulatory changes and validating the adequacy of CASS Governance Framework.
- Assist in ensuring appropriate CASS training for staff.

**Essential Skills and Competencies** **of the CASS Oversight Lead**
- Subject matter expert in the FCA’s CASS rulebook for MiFID, specifically CASS 7, and an in-depth understanding of Client Money flows.
- Knowledge of Safeguarding for Payment firms (upcoming CASS 15 rules).
- Experience of operating in a compliance, audit or operational oversight role.
- Hands on experience of managing CASS related responsibilities including CMAR reporting, CASS record keeping and reconciliation requirements.
- Excellent communication with the ability to develop effective working relationships, and influence employees at all levels.
- Excellent analytical, organisational and interpretation skills as well as critical thinking and problem-solving skills.
- **A CASS qualification.

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