Transfer Agency CASS SME (Subject Matter Expert Oversight)
Position based in either Chelmsford or Wimborne office.
Key Responsibilities
- Act as the CASS (SME) and serve as the primary internal and external point of contact.
- Oversee end‑to‑end workflows to ensure compliance with client money rules across the business.
- Maintain the CASS framework, keeping it current and aligned with regulatory requirements.
- Map and update the CASS Matrix against the CASS rules.
- Lead CASS workshops, client visits and due diligence engagements.
- Ensure aged debtors are pursued where applicable.
- Confirm all CASS requirements are met and supplied in a timely fashion.
- Complete all daily internal and external client‑money reconciliations accurately and on schedule.
- Address shortfall or surplus movements on settlements promptly.
- Own and assist with CMAR returns, ensuring timely and accurate submission.
- Oversee the end‑of‑day funding process, covering shortfalls and depositing to enable daily creation payments to the depositary.
- Keep all relevant CASS procedures regularly updated.
- Investigate and resolve client‑money reconciliation breaks or discrepancies within 24 hours.
- Raise any regulatory CASS breaches within the required timeframe and ensure mitigation is applied.
- Support sign‑off of daily CASS reconciliation packs.
- Maintain relationships with relevant parties and the Transfer Agency sub‑delegate.
- Ensure agreed SLAs and contractual deliverables are achieved, monitoring KPIs to address trends or performance issues.
- Support new business, client and regulatory operational issues.
- Analyze industry changes and assess impact on the TA business.
- Propose and implement process enhancements to maximise efficiency.
- Maintain issue logs, monitor trend analysis and attend internal and external review meetings.
- Coordinate issue management when delivery of TA services is impacted.
- Assist with other ad‑hoc duties and projects to ensure CASS considerations are integrated throughout the scope of delivery.
Reporting Structure
Reports to the Head of Transfer Agency.
Qualifications
- Experience: Minimum 5 years in CASS operations (highly desirable).
- Skills: Strong teamwork, commitment to deadlines, excellent written and verbal communication, high organisation and efficiency, ability to work independently and under supervision, detail‑oriented, FCA awareness, IOC competency preferred or willingness to qualify.
- Education: Appropriate qualifications relevant to responsibilities.
Remuneration & Benefits
Compensation is market related and commensurate with experience and seniority. A competitive benefits package will be provided.
Disclaimer
Unsolicited CVs sent to Apex by recruitment agencies will not be accepted for this position.
