Risk Governance (Audit, Risk & Compliance)
A global financial services firm is looking to hire a CASS expert to work within their Transfer Agency department. With a global footprint, the business specialises in investment management, asset fund administration and banking solutions.
Reporting directly into the UK Head of Financial Control, the successful candidate will aid in the continual evolution of the UK Transfer Agency CASS operational framework and advise in the navigation through the complexity of the CASS rules and assist the teams to further strengthen the current systems and controls to aid in the client compliance with the CASS rules.
The role is a demanding one that will need to have someone who is a self-starter with the ability to manage concurrent ad-hoc projects and build strong working relationships with key business stakeholders as well as maintaining BAU commitments. Key elements of the role will include but not limit you to:
- Support the implementation of appropriate infrastructure to facilitate clients’ compliance with the CASS regulatory changes across the UK business.
- Provide advice and guidance on the application of the CASS rules to multiple stakeholders including but not limited to Clients, Business Unit partners and internal governance forums.
- Regularly review the operating effectiveness of key processes/functions/controls within Transfer Agency relating to the protection of client money and assets.
- Be a contact point for Audit Team and the Cass Office when providing guidance effectiveness of TA CASS systems and controls in meeting compliance with the CASS regulatory requirements.
- Maintain ongoing training and development of UK Transfer Agency partners in relation to CASS, with the aim of further embedding CASS awareness and further mitigate potential CASS risk / breaches.
- Lead Client and Audit meetings providing confident detailed knowledge of CASS Methodology and the implementation of the methodology within Operational Teams.
- Leading operational teams where necessary to ensure BAU SLAs are achieved.
The successful candidate will have the following:
- Detailed technical understanding of the FCA’s principles and rules, including the CASS Client Assets regulation and its application to the Transfer Agency business.
- Experience of operating in a demanding operational role with all round Transfer Agency knowledge and skills
- Excellent communication skills with the ability to develop effective working relationships
- Experience in production of management information reporting and/or reconciliations will also prove
- Strong influencing and negotiation skills
- Excellent analytical / interpretation skills,
- Service / Client orientated i.e. proactive and strong client / business focus
Please contact firstname.lastname@example.org or 020 7952 1065 for a confidential appraisal.