CASS Analyst

AJ Bell

Salford

On-site

GBP 32,000 - 39,000

Full time

11 days ago

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Benefits offered by this job

Salary from £35k

Pension 6%

Discretionary bonus

Share schemes

Health plan

Onsite gym

Enhanced family leave

Travel and bike loan

Employee assistance

Job summary

AJ Bell is seeking a CASS Analyst to help ensure compliance with FCA CASS rules within Operational Oversight. You will support monitoring, risk identification and control enhancements while interacting with multiple business units.

The role requires analytical thinking, strong organisation, and the ability to manage own workload in a hybrid working setup. CISI CASS Level 3 (desirable) and proficiency with MS Office are beneficial.

Qualifications

FCA CASS experience and knowledge of CASS handbook chapters 6,7,8 and 10.
Completion (or part completion) of CISI CASS Level 3 is desirable.
Experience in process reviews and report writing.
Strong problem solving and data-driven decision making.
Excellent written and verbal communication.

Responsibilities

Assist operational teams in complying with FCA CASS rules.
Undertake annual risk-based CASS monitoring plan.
Identify and manage CASS risks and breaches.
Maintain CASS Risk and Control Assessment and escalation processes.
Support training delivery and change initiatives.
Facilitate internal and external CASS audits.
Ensure regulatory requirements and consumer duty are met.

Skills

FCA CASS experience

CASS knowledge (Ch 6-10)

Root cause analysis

Data analysis

Report writing

Stakeholder management

Regulatory compliance

CISI CASS Level 3 (desirable)

Education

Bachelor's degree or equivalent

Tools

Microsoft Office

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 escalat e 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