Support the planning and execution of Resolution Pack (RP) tests, including coordinating test activities, collecting and maintaining complete audit-ready evidence, and documenting results and actions. Escalate issues and exceptions to senior team members and contribute to the team’s ongoing compliance with FCA CASS 10 requirements.
As CASS Governance & Oversight Analyst within the CASS Governance & Oversight team you will design and implement the oversight framework for CASS rules requirements within the CIB (Commercial and Investment Bank), ensuring the CIB’s Client Asset Oversight Officer (CAOO) and relevant Senior Management Functions (SMFs) are able to deliver on their regulatory responsibilities. You will work closely with Operations, Business and Product Management spanning all lines of business across the In-Scope Legal Entities. In addition, you will partner with Compliance, Audit and Risk.
Job responsibilities
1. Assist with ad hoc CASS tasks or projects, as required, to support enhancements to operational efficiency and regulatory compliance.
2. Administer Resolution Pack (RP) testing execution in line with CASS 10 rules.
3. Maintain and organise CASS evidence and documentation, ensuring records are complete, accurate, and kept up to date in line with FCA CASS rules.
4. Coordinate with relevant business lines to provide guidance and feedback on CASS documentation and potential enhancements.
Required qualifications, capabilities, and skills
5. Ability to organise and manage multiple tasks to deadlines and comfortable working to a test schedule.
6. Strong attention to detail and ability to maintain complete, accurate, audit-ready evidence.
7. Good written communication skills, with the ability to produce clear documentation (procedures, test evidence packs, logs).
8. Stakeholder management skills: able to coordinate inputs across business lines and follow up to closure.
9. Analytical mindset: able to identify exceptions, data gaps, or control weaknesses and escalate appropriately.
10. Proficient in Microsoft Office, especially Excel, PowerPoint and Word.
11. Experience in an operations, governance, controls or compliance environment within financial services.
Preferred qualifications, capabilities, and skills
12. Familiarity with FCA Client Assets (CASS)principles and terminology, ideally including CASS 10 Resolution Pack.