CASS Analyst

Aj Bell

Greater Manchester

Hybrid

GBP 32,000 - 39,000

Full time

8 days ago

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Benefits offered by this job

Salary from £35,000

25 days holiday

6% Pension with matched contributions

Discretionary bonus scheme

Share schemes (including free shares)

Health Cash Plan and discountedPrivate

Free onsite gym

Enhanced family leave

Travel and bike loan schemes

Employee Assistance Programme

Job summary

AJ Bell is recruiting a CASS Analyst to support operational teams in complying with FCA CASS rules. You will help manage risk-based monitoring, document breaches, perform root cause analysis, and support training initiatives within a growing Operational Oversight function.

The role reports to the CASS Manager and requires strong organisation, communication, and analytical skills. Hybrid working with at least 50% office time per month is offered.

Qualifications

FCA CASS experience and knowledge, particularly chapters 6, 7, 8 & 10 of the CASS handbook
Completion (or part completion) of CISI CASS Level 3 qualification is desirable
Experience in performing process reviews and report writing
Experience working with Microsoft Office, including Excel, Word and PowerPoint
Excellent problem solving and decision-making skills with the ability to compile and evaluate data for decision making
Strong verbal and written communication skills
A bachelor's degree in a relevant field of study (or equivalent workplace experience) is desirable

Responsibilities

Undertake an annual risk-based CASS monitoring plan
Identify and manage CASS related risks
Maintain the CASS Risk and Control Assessment to enable the firm to develop and strengthen CASS controls
Under testing to assess effectiveness of key CASS controls
Identify, document and elevate CASS breaches, collaborate with the wider business to implement preventative controls
Undertake root cause and trend analysis to enable the production of Management Information
Provide support and assist in the delivery of training to operational teams
Support change initiatives, assessing the impact on CASS processes
Represent the CASS team in relevant discussions and meetings
Maintain CASS Resolution Pack documentation and other CASS policies
Facilitate internal & external CASS audits, supporting walkthroughs and sampling
Ensuring all duties are carried out in full compliance with regulatory requirements, including consumer duty.
Following structured processes to deliver accurate outcomes to meet regulatory requirements, including consumer duty and deliver the best possible customer experience.
Approach vulnerable customers using best practice and document any reasonable steps taken for their fair treatment.

Skills

FCA CASS knowledge

Process reviews & reporting

MS Office

Analytical thinking

Communication skills

Education

Bachelor's degree or equivalent experience

Tools

Microsoft Office

Job description

Company Description

Job Description

An opportunity has arisen within our CASS team, and we are looking to recruit a CASS Analyst. We're seeking an analytical individual who enjoys working in a varied environment where no two days are the same. If you're looking for an opportunity to use your initiative, develop your analytical skills, and manage your own workload, this could be the perfect role for you.

Purpose of the role

Reporting to the CASS Manager, the CASS Analyst will be responsible for assisting operational teams in complying with the FCA CASS rules. You will be a part of a growing team working within Operational Oversight and interacting with the wider business.

What does the job involve?

Undertake an annual risk-based CASS monitoring plan
Identify and manage CASS related risks
Maintain the CASS Risk and Control Assessment to enable the firm to develop and strengthen CASS controls
Under testing to assess effectiveness of key CASS controls
Identify, document and elevate CASS breaches, collaborate with the wider business to implement preventative controls
Undertake root cause and trend analysis to enable the production of Management Information
Provide support and assist in the delivery of training to operational teams
Support change initiatives, assessing the impact on CASS processes
Represent the CASS team in relevant discussions and meetings
Maintain CASS Resolution Pack documentation and other CASS policies
Facilitate internal & external CASS audits, supporting walkthroughs and sampling
Ensuring all duties are carried out in full compliance with regulatory requirements, including consumer duty.
Following structured processes to deliver accurate outcomes to meet regulatory requirements, including consumer duty and deliver the best possible customer experience.
Approach vulnerable customers using best practice and document any reasonable steps taken for their fair treatment.

A successful candidate will have:

High levels of organisation and attention to detail
Be self-motivated with the ability to effectively prioritise, manage own time and work to deadlines
Be able to influence, build and maintain positive relationships
The ability to challenge others in an appropriate way
The ability to make the complex simple for others

Competence, knowledge and skills

FCA CASS experience and knowledge, particularly chapters 6, 7, 8 & 10 of the CASS handbook
Completion (or part completion) of CISI CASS Level 3 qualification is desirable
Experience in performing process reviews and report writing
Experience working with Microsoft Office, including Excel, Word and PowerPoint
Excellent problem solving and decision-making skills with the ability to compile and evaluate data for decision making
Strong verbal and written communication skills
Good understanding of financial services is desirableA bachelor's degree in a relevant field of study (or equivalent workplace experience) is desirable

About AJ Bell

At AJ Bell, we believe investing should feel good. Whether you're looking for an ISA, pension or dealing account, whether you want to invest with the help of a financial adviser or do it yourself, we have easy-to-use solutions to suit people from all walks of life.

We're one of the UK's fastest-growing investment platform businesses, trusted by everyone from professional financial advisers to first-time investors.

Today, over 762,000customers trust us to manage more than £121.5billion of assets. By continually striving to make investing simpler and more accessible, we're helping more people take control of their financial futures.

We're proud to be recognised as one of the UK's Best 100 Companies to Work For for six consecutive years, and a Great Place to Work in 2025 and 2026, a reflection of our supportive and collaborative culture.

What we offer