CASS Risk and Control Officer

Marks Sattin
Little London, UK
55,000 - 60,000
12 Jun 2021
20 Jun 2021
Job role
ROLE: CASS Risk and Control Officer

A key element of the role will involve developing the firm's Risk and Control framework whilst providing support for the detailed mapping of CASS rules to the firm's risks and controls across business lines.

  • Maintain, develop, and perform ongoing reviews and updates of the firm's Risks and Controls matrix for CASS
  • Proactively identify and provide suggestions on CASS controls
  • Enhance risk-based testing methodologies (assurance) of CASS processes and controls
  • Responsible for the continual assessment of operational risks associated with the role and inherent in the business
  • Ensuring that all CASS Oversight procedures and policies are documented and maintained
  • Proactively identifying and providing suggestions on CASS controls
  • Produce monthly/quarterly executive management information reports for governing bodies
  • Compile accurate monthly CMAR returns (in line with regulatory requirements)
  • Develop tools to measure and monitor the firm's governance framework
  • Perform ongoing review and updates of CASS Risks and Controls matrix
  • Implement operational oversight activities over our third-party service providers
  • Support and facilitate the annual CASS audit process, including liaising with external auditors
  • Support strategic change initiatives across the CASS environment to ensure CASS impact is assessed, understood and appropriate action plans in place to mitigate and manage
  • Maintain the CASS Resolution Packs
  • Support the firms breach management process to meet internal, regulatory and audit requirements
  • Providing assurance over corrective measures for resolution of CASS breaches
  • Continually monitor and analyse key risk metrics across the firm's control environment to identify and escalate key risk areas and monitor mitigation plans to resolution
  • Support the business in the on-going development of a robust CASS control environment
  • Demonstrate that controls are in place to meet criteria required for CASS Resolution Planning
  • Permorming and completing daily client money and asset reconciliations daily
  • Funding client money accounts and managing diversification exposures in line with policy
  • Preparing Daily Client Money Management Information

  • At least 5-years' relevant CASS experience, gained in an investment operation, investment risk or compliance environment, with in-depth knowledge of the UK regulations and industry practices
  • Excellent knowledge of FCA CASS sourcebook and demonstrable ability to apply them in practice
  • Ongoing awareness of changes to CASS regulations and best practice developments with the ability to communicate technical concepts and ideas to non-technical audience
  • Problem solving oriented approach with high level of accuracy
  • Experience with completing CASS client money and asset reconciliations
  • Self -starter; highly motivated with strong reconciliation skills
  • Exceptional attention to detail with the ability to prioritise under pressure
  • Maintain high degree of accuracy for all deliverables
  • Strong, effective analytical and problem-solving skills
  • Excellent communication skills to effectively articulate solutions to internal stakeholders
  • Ability to multi-task and balance requests without losing sight of overall objectives and deadlines
  • Ability to work in a team environment and build strong relationships with stakeholders
  • Ability to work in a fast paced, rapid changing, deadline driven environment
  • Expertise in Microsoft office products with an emphasis on Excel

If this sounds like you, apply today!

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