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LINK GROUP
Head of CASSLondonMonday - Friday - 37.5hours £ Competitive + benefitsWorking with colleagues, boards, regulators, and auditors the role will provide CASS oversight for the business.As Head of CASS, you will take responsibility for all Client Asset related matters both internally and externally. They will support the Chief Operations Officer to ensure that all day-to-day CASS regulatory requirements are met within Corporate Markets operations.The role requires strong and proven technical skills in the areas of CASS operations and a significant understanding of relevant industry changes in this area. It requires a high level of oversight and governance of the CASS rules within the operation, ensuring that reporting is robust. You'll be taking initiatives to review and strengthen the CASS systems and controls is key with regard to errors, breaches and accurate reconciliation.You will be working with the Chief Operations Officer to ensure that communication and any coaching to teams on CASS matters is relevant and timely and be the main point of referral and contact and liaising with key internal and external business partners in the areas of Risk, Compliance, Audit etc is key. This will be achieved by establishing direction and ensuring the right organisational capability, culture & conduct exists to achieve compliance with the CASS requirements of the FCA Handbook.What you'll be doing:
  • Assist with the development of client asset policies ensuring they are formally documented
  • Maintaining an up to date and thorough knowledge of the CASS rules and associated industry changes
  • Develop and maintain a CASS framework, including FRC rule mapping and controls (Axiom)
  • Overseeing the effectiveness of Operations in relation to CASS responsibilities and be accountable to the Head of Operations in that regard
  • Taking initiatives to strengthen systems and controls to improve operational efficiency and reduce the incidence of errors and breaches
  • Identifying where technology can be leveraged to automate reconciliations, CASS records, audit trails and other recurring tasks
  • Represent Operations on CASS matters at any committees and meetings either internally or externally
  • Responsibility for the firm's compliance with CASS and responsibility for day-to-day CASS operations
  • In line with CASS 1A.3.1A; Oversight of the operational effectiveness of the firm's systems and controls that are designed to achieve compliance with CASS; Report to the firm's governing body in respect of that oversight
  • Ensure teams adhere to risk, compliance, and audit requirements in relation to CASS
  • Liaising with key internal (e.g. legal, risk, etc.) and external (regulators, auditors, etc.) stakeholders as required. Keeping abreast of upcoming changes to regulation and legal advice
  • Taking initiatives to strengthen systems and controls to improve operational efficiency and reduce the incidence of errors and breaches
  • Identifying where technology can be leveraged to automate reconciliations, CASS records, audit trails and other recurring tasks
  • Manage the CASS audit process and Chair CASS Committee
  • This is a certified role under SMCR
  • The individual holding this role has been designated as a Certification Employee for the purposes of the FCA's Senior Managers and Certification Regime
  • Required to be "fit and proper" at all times
  • Ensure Regulated Business areas, current and any future processes, are fully compliant with internal policy and requirements of external regulatory bodies
  • Required to obtain any required qualifications or experience within prescribed timeframes and to maintain competence (including the satisfaction of CPD requirements) on an ongoing basis thereafter
  • Required to comply with the FCA Conduct Rules applicable to all financial services employees
What we're looking for:
  • Knowledge and experience within a CASS Oversight functions and/or experience of working on CASS firm audits or advisory arrangements
  • Deep technical knowledge of CASS Regulation
  • Proven track record in CASS related operations
  • Motivation to work in a fast-paced and changing environment
  • Work both independently and with key stakeholders to ensure key targets are met
  • IOC qualified including CASS specific modules
  • Technical CASS industry awareness
  • Providing CASS guidance and strong leadership to the Operations teams
  • Demonstrating strong relationship skills for new, prospective and existing clients
  • Being a hands on manager to ensure CASS controls are robust and tested
  • Experience of managing to deadlines in a fast paced and changing environment
  • Be able to demonstrate a good understanding of the management of risk and conduct
  • Excellent communication skills with the ability to communication and build relationships at all levels of a diverse range of staff, including senior managers
  • Knowledge and experience within a CASS Oversight functions and/or experience of working on CASS firm audits or advisory arrangements. Previous experience as a CF10a is desirable
What's in it for you?A very competitive basic salary plus benefits23 days' holiday to start, (rising to 25) plus Bank Holidays, with the opportunity to buy extra leaveCompany matched pension scheme, private medical cover, life assurance, a cycle2work scheme, fully paid maternity, adoption and shared parental leave, paternity pay of two weeks…and plenty moreVoluntary benefits designed to suit your lifestyle - from discounts on retail and socialising, to health & wellbeing, travel and technologyThe possibility of working from home, flexible working or working part-time options are availableYou'll get the chance to follow your chosen career path anywhere in Link Group. You'll be joining a network of 7,000 experienced, innovative and dedicated individuals across multiple teams and countries. There are countless oppo...
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