Associate, CASS Oversight

Titan Wealth Holdings Limited; City of Westminster; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

A financial services company is looking for a CASS oversight specialist on a Fixed Term Contract for 9 months. The role involves ensuring compliance with FCA CASS rules, managing the CASS audit process, and supporting the migration of assets to a new custody provider. Candidates should have a good knowledge of CASS regulations and experience with regulatory reporting. The position is hybrid, with 3 days in the London office and offers a competitive salary and benefits including a pension scheme and private medical insurance.

Benefits

Competitive salary

Attractive Employee Pension Scheme

25 days annual leave

Private medical insurance

Group life insurance

Flexible benefits to choose from

Qualifications

• Good understanding of FCA CASS rules, especially CASS 6 & 7.
• Experience in FCA CASS external audit and liaising with stakeholders.
• Experience maintaining a compliant Client Asset Resolution Pack.

Responsibilities

• Assist in achieving operational oversight of CASS systems and reporting.
• Ensure maintenance of the CASS framework and governance.
• Oversight of CASS-related functions among group entities.
• Manage CASS audit processes and provide necessary information.
• Support migration of assets to the new custody provider.

Skills

Good working knowledge of FCA CASS rules specifically CASS 6 & 7

Familiar with required regulatory reporting and governance in relation to CASS

Experience with working on an FCA CASS external audit

Experience with maintaining a compliant Client Asset Resolution Pack

Tools

Microsoft Office skills including Excel

Job description

This role is a Fixed Term Contract for a period of 9 months to cover maternity leave – the candidate would ideally be able to start by no later than end of January 2026. The role is hybrid, based out of London 3 days a week, 2 can be home‑based. Titan Wealth Holdings are required to maintain a CASS oversight function to oversee the CASS arrangements to ensure those entities maintain a fully compliant client‑money and asset environment that meets the requirements of the FCA CASS rules for the group entities that hold CASS permissions. The team currently consists of 4 individuals plus the Head of CASS who holds the SMF18/PRZ responsibility.

Responsibilities

• Assisting the SMF 18 PRZ in achieving operational oversight of systems, reporting, and completing and submitting the CMAR to the FCA for the relevant Titan group entities.
• Ensuring maintenance of the group CASS framework, and maintaining a appropriate and compliant CASS culture and governance framework until migration of assets to the new custody provider is complete.
• Oversight of CASS‑related functions performed by the relevant group entities with permissions including performance of cash and asset reconciliations, until migration of the assets to the new custody provider is complete.
• Maintenance of all policy and procedure documents including, but not limited to, client bank‑account acknowledgement letters, CASS Resolution Pack, daily client‑money and asset procedures, CMAR procedures and the bank and custodian selection policy (plus annual due‑diligence review of all such institutions) for all group entities with CASS permissions until the migration of assets.
• Maintain production of appropriate and timely CASS MI up to the point that all assets are migrated to the new custody provider.
• Management of the CASS audit process, ensuring that all information can be provided to the relevant audit firm including ongoing and potential closing audits post‑migration to a new custody provider.
• Provide CASS expertise and support to the project to migrate assets to the new custody provider ensuring CASS compliance for the migration.
• Ability to work alongside the SMF 18 and Operations managers, to ensure any required documents/knowledge and sample data that is required for any audit undertaken during and following the migration of assets and transfer of regulatory responsibilities is maintained and available to auditors.
• Adhere to Consumer Duty.

Skills and Experience

Essential

• Good working knowledge of FCA CASS rules specifically CASS 6 & 7.
• Familiar with required regulatory reporting and governance in relation to CASS.
• Experience with working on an FCA CASS external audit and liaising and working with internal stakeholders and auditors.
• Experience with maintaining a compliant Client Asset Resolution Pack and Control Framework.

Desirable

• Practical experience in working in CASS operational oversight within an investment firm, including internal/external reconciliations, breach identification and remediation.
• Experience in compiling and reviewing a Client Money and Asset Return.
• Microsoft Office skills including Excel.
• CISI Client Money and Assets Regime and/or CISI Investment Operations Certificate.

Terms and Conditions

• Competitive salary.
• Attractive Employee Pension Scheme (7.5 % employer & minimum 3 % employee).
• 25 days annual leave + public holidays.
• Buy‑and‑sell holidays up to 5 days.
• Office Christmas close (3 days).
• Private medical insurance.
• Group life insurance.
• Income protection insurance.
• Hybrid working.
• Further education and training support.
• Discretionary performance‑related bonus.
• Confidential Employee Assistance Programme.
• 2 days per year for voluntary work.
• Flexible benefits to choose from.

The Titan Wealth Group is firmly committed to fostering an inclusive and equitable environment for everyone who works with us, regardless of their race, age, gender, sexual orientation, religion, physical ability or disability, or political affiliation. We believe that having a diverse team allows us to create the best possible outcomes for our clients and team members. We strive to provide equal opportunities in all aspects of the workplace with respect to recruitment and career advancement, pay and benefits, training and development opportunities and other job‑related activities.