Cass Assurance Specialist

The Bank

This global investment bank has experienced significantly over the last 10 years as they continue to take market-share and expand operations into new areas. They take pride in their excellent culture; staff satisfaction is something at the top of this Investment Bank's agenda, offering an excellent work life balance, down-to-earth culture and a friendly working environment.  

Role Responsibilities

• Oversight of international Operations teams performing CASS impacting functions covering reviewing processes and control.
• Perform QA, sample test and/or collate data in a timely fashion to ensure compliance with relevant FCA rulebooks (CASS, COBS, SYSC, etc.).
• Conduct due diligence of client money banks and brokers.
• Management Information to CASS stakeholders such as CF10a and Compliance functions.
• Provide accurate and relevant reporting internally and to the regulators.
• Work closely with Operational Risk teams to identify any potential risks relation to CASS and related functions/processes.

Role Requirements

• Strong knowledge of CASS rules and application/treatment in relation to CASS 1, 3, 7, 9 & 10 rule sets.
• A working & detailed knowledge/understanding of CASS rules and application and impact of Banking Exemption.
• Understanding of Settlement & Corp Action events in relation to MiFID II
• A strong track record in process improvement with a view to developing/enhancing controls.
• Solid communication skills with an assertive approach with Compliance/CASS Control stakeholders.
• Product knowledge of the Broker/Dealer business and Futures, Derivatives/Fixed Income and Equities spaces.

If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Anna Dunne at twentyAI.

twentyAI’s Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.