Associate, CASS Oversight

Titan Wealth Holdings Limited; Greater London; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A wealth management firm in Greater London seeks a CASS oversight professional for a 9-month fixed term contract. The role involves operational oversight, compliance with FCA CASS rules, and management of various CASS documentation. Ideal candidates will have experience in CASS regulations and audits, and strong Microsoft Office skills. The role offers a hybrid working model with a competitive salary and attractive benefits.

Benefits

Competitive salary

Employee Pension Scheme (7.5% employer contribution)

25 days Annual Leave + public holidays

Buy and sell holidays up to 5 days

Private medical insurance

Discretionary performance-related bonus

Qualifications

• Desirable CISI Client Money and Assets Regime and/or CISI Investment Operations Certificate.
• Good working knowledge of FCA CASS rules specifically CASS 6 & 7.
• Experience with FCA CASS external audits and liaising with internal stakeholders.

Responsibilities

• Assist in achieving operational oversight of systems and reporting.
• Ensure maintenance of the group CASS framework.
• Oversight of CASS-related functions and reconciliations.

Skills

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

Familiarity with required regulatory reporting and governance in relation to CASS

Experience with FCA CASS external audits

Experience maintaining a compliant Client Asset Resolution Pack

Microsoft Office skills including Excel

Education

CISI Client Money and Assets Regime and/or CISI Investment Operations Certificate

Job description

Titan Wealth is a fast-growing wealth management business, both in the UK and internationally. It has evolved a fairer, more efficient and effective business model, structured to deliver leading advice-led wealth management services, giving financial advisers and their clients the best opportunity to fulfil their dreams and ambitions.

We provide a dynamic work environment full of opportunity, one where both individual and team initiative and contribution is encouraged, so that together we can deliver better outcomes for our clients over the long term.

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 hbrid, based out of London 3 days week, 2 can be homebased.

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 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 SMF18 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.

Qualifications

• Desirable: CISI Client Money and Assets Regime and/or CISI Investment Operations Certificate – desirable

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 in 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.

Our employees are talented people, distinguished by excellence. You will be able to demonstrate a willingness to embrace the Company values of:

Creativity – we recognise we need new ways of thinking, learning and doing to both improve our own productivity and efficiency as well to help us stay ahead of competitors.

Commitment – we are team with the willingness to put time, effort and energy into driving change in the organisation, going the extra mile.

Collaboration – we need teamwork amongst ourselves and with partners to generate more innovative, efficient and effective solutions and thereby a greater sense of achievement.

Terms

• 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)
• A range of benefits which includes private medical insurance, Group life insurance, and 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
• And lots of 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.