Our client is a leading Fintech outsourcing business, specialising in supporting pension (including SIPP) and investment administration services for regulated financial clients. Their reputation is built on trust, innovation, and unwavering regulatory compliance.
They are looking for a dedicated and experienced CASS Analyst or CASS Supervisor to join their Operations team in Peterborough. This is a critical role focused on safeguarding client money and custody assets, protecting their regulatory integrity, and ensuring full compliance with the FCA's Client Asset Sourcebook (CASS) rules.
If you have a strong CASS background and are ready to be the subject matter expert in a fast-paced, client-focused environment, this is your opportunity.
Key responsibilities:
As our CASS Analyst/supervisor, you will be pivotal between compliance and operations, combining advisory oversight with hands-on monitoring and reconciliation:
* CASS Advisory & Policy: Act as the subject matter expert on CASS compliance, providing guidance to Operations, Finance, and Client Services. You'll assist in maintaining and enhancing CASS policies and internal control frameworks.
* Reconciliation & Monitoring: Perform and oversee daily and non-daily CASS reconciliations (client money and custody assets), ensuring meticulous accuracy and promptly investigating and escalating all breaks.
* Risk & Breach Management: Identify, assess, and manage CASS-related risks in operational processes. Log, track, investigate, and report CASS breaches, ensuring all remediation actions are documented and completed in a timely manner.
* Reporting & Audits: Prepare regular Management Information (MI) reports on CASS compliance status for senior management and the Board. You will be a key contact for both internal and external CASS audits.
* Training & Projects: Develop and deliver engaging CASS awareness training to operational staff. Ensure all CASS requirements are incorporated into new business projects, system changes, and product launches.
Background & Experience
* Dedicated CASS Expertise: 1–3+ years of experience in a dedicated, CASS-focused role within a regulated financial services firm (e.g., Investment Management, Broker, SIPP Provider).
* Regulatory Knowledge: A strong, practical working understanding of the FCA CASS rules, specifically in either CASS 6 (Custody) or CASS 7 (Client Money), and their application to operational environments.
* Analytical Power: Excellent analytical and problem-solving abilities with meticulous attention to detail, essential for accurate reconciliation.
* System Proficiency: High proficiency in Microsoft Excel and proven experience using accounting or reconciliation systems.
* Communication: Strong written and verbal communication skills for regulatory reporting, advisory work, and training delivery.
This is a newly created permanent role and will suit a CASS analyst looking for a new career opportunity with oversight over CASS and the opportunity to take on supervisory/team management duties.