CASS Analyst

AJ Bell Management Limited

Manchester

On-site

GBP 35,000 - 45,000

Full time

8 days ago

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Benefits offered by this job

25 days holiday

Pension with matched contributions

Discretionary bonus scheme

Share schemes

Health Cash Plan and discountedprivate

Free onsite gym

Enhanced family leave

Travel and bike loan schemes

Employee Assistance Programme

Job summary

AJ Bell is seeking a CASS Analyst to join its CASS team. You will support the annual monitoring plan, identify CASS risks, and help strengthen CASS controls while ensuring compliance with FCA rules and consumer duty standards.

The role requires strong analytical skills, organisation, and the ability to manage workload in a fast-paced environment. Hybrid working with office time is available.

Qualifications

Experience with FCA CASS rules and controls.
Ability to perform risk-based monitoring and MI.
Strong data analysis and reporting skills.
Experience in process reviews and audits.
Proficient in MS Office.

Responsibilities

Undertake annual risk-based CASS monitoring plan.
Identify and manage CASS-related risks.
Maintain CASS Risk and Control Assessment and related documentation.
Support internal/external CASS audits and assurance activities.
Ensure compliance with regulatory requirements including consumer duty.

Skills

FCA CASS experience

CASS knowledge

MS Office

Analytical skills

Communication skills

Problem solving

Education

Bachelor's degree in a relevant field

CISI CASS Level 3 (desirable)

Tools

Excel

Word

PowerPoint

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 desirable
A 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