Support the creation and submission of monthly regulatory reporting, including working with various lines of business to manage their data and create a single submission for four CIB (Commercial and Investment Bank) legal entities. Check, challenge and escalate where appropriate. Support a daily client money reconciliation and segregation requirement, ensuring we continue to comply with the relevant CASS rules. Support the ongoing efforts to remain compliant with various CASS rules and the introduction of new rules.
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. Produce the Client Money and Asset Return (CMAR) on a monthly basis, ensuring the information included is complete and accurate.
2. Manage oversight of the client money reconciliation on a daily basis, working with business lines to understand and resolve any discrepancies that are identified.
3. Create daily and monthly MI for the CAOO and relevant SMFs.
4. Assist with ad hoc CASS tasks or projects, as required, to support enhancements to operational efficiency and regulatory compliance.
5. Develop knowledge and an understanding of the relevant CASS rules and support ongoing adherence
6. Create operational processes and documentation to support the introduction of new CASS rules in a controlled and consistent manner.
Required qualifications, capabilities, and skills
7. Ability to work to tight deadlines and prioritise workload.
8. Strong attention to detail and ability to maintain complete, accurate, audit-ready evidence.
9. Strong communication skills—both written and verbal.
10. Stakeholder management skills: able to coordinate inputs across business lines and follow up to closure.
11. Analytical mindset: able to identify exceptions, data gaps, or control weaknesses and escalate appropriately.
12. Proficient in Microsoft Office, especially Excel, PowerPoint and Word.
13. Experience in an operations, governance, controls or compliance environment within financial services.
Preferred qualifications, capabilities, and skills
14. Familiarity with FCA Client Assets (CASS) principles and terminology.