CASS Audit Manager

Moore Kingston Smith; Greater London; On-site; GBP 69,000 - 75,000; Full time

Job summary

Moore Kingston Smith is recruiting for a CASS Audit Manager in London. You will lead a portfolio of CASS audits for FCA-regulated clients, delivering high-quality work on time and within budget.

You will work closely with partners, directors and junior staff to develop technical expertise and progress your career within a supportive team. Opportunities may include broader CASS/Safeguarding work and external audits.

Qualifications

• ACA or ACCA (or equivalent) qualification required.
• Strong Financial Services audit experience, including FCA-regulated clients.
• Proven ability to lead and mentor teams on audits and regulatory projects.
• Excellent communication with clients and internal stakeholders.

Responsibilities

• Manage a portfolio of CASS audit clients.
• Lead CASS audits from planning through to completion.
• Plan engagements, perform risk assessments and identify key CASS controls.
• Review client money, custody asset and safeguarding arrangements and reconciliations.
• Design and review audit testing and identify key issues for remediation.
• Mentor, train and support junior team members.

Skills

Communication skills

Regulatory knowledge

Project management

Team leadership

Audit experience

Education

ACA or ACCA qualified

Tools

Audit software

Job description

CASS Audit Manager

Department: Advice, Audit & Accounts

Employment Type: Permanent - Full Time

Location: City, London

Compensation: £68,500 - £75,000 / year

Description

Join our Financial Services team and be part of an established specialist audit and assurance practice. Our team works with a varied portfolio of FCA-regulated clients, including investment firms, payment institutions, e-money institutions and insurance intermediaries.

As a CASS Audit Manager, you will take the lead on a portfolio of CASS audits working closely with partners, directors, and junior team members to deliver high-quality work on time and within budget. This role offers the opportunity to develop deep technical expertise in a fast-evolving regulatory area, while building strong client relationships and supporting the continued growth of our Financial Services offering.

Whether you are already operating at Manager level or are an experienced Assistant Manager ready to take the next step, this role offers the opportunity to broaden your experience, develop your leadership skills and progress your career within a supportive and collaborative team.

For candidates seeking broader exposure, the role can include a mix of CASS/Safeguarding and external audit assignments.

Key Responsibilities

• Manage a portfolio of CASS audit clients.
• Lead CASS audits from planning through to completion.
• Plan engagements, perform risk assessments and identify key CASS controls.
• Review client money, custody asset and safeguarding arrangements, including reconciliations, governance arrangements, control frameworks and breach management processes.
• Design and review audit testing, including substantive, analytical and controls-based procedures.
• Identify key issues that may affect audit or assurance opinions and elevate these to directors and partners with clear recommendations.
• Prepare and review audit completion documentation, including audit highlights reports, CASS reports and summaries of findings.
• Review the work of team members, providing constructive feedback, coaching and technical guidance.
• Mentor, train and support trainees, part-qualified staff and newly qualified team members.
• Communicate findings, recommendations and key regulatory matters clearly to clients, managers and partners.
• Build and maintain strong client relationships, acting as a key day-to-day contact on engagements.
• Liaise with Compliance, Risk, Finance, Operations, IT audit and other specialist teams to ensure a coordinated service to clients.
• Monitor engagement progress, budgets, recoverability and deadlines, identifying opportunities to improve efficiency while maintaining quality.
• Support business development activities, including contributing to proposals, client discussions and the development of our CASS offering.
• Keep up to date with FCA rules, regulatory developments and industry practice relating to CASS, safeguarding and financial services assurance.
• Ensure all work is completed in accordance with regulatory requirements, professional standards and firm procedures.

Skills, Knowledge and Expertise

• ACA or ACCA qualified (or equivalent)
• Current Audit Manager, or experienced Assistant Manager, with experience managing audit or assurance engagements.
• Strong Financial Services audit experience, ideally including investment firms, payment institutions, e-money institutions or other FCA-regulated businesses.
• Strong experience of CASS audits, particularly CASS 6, 7 and 8.
• Good understanding of the FCA CASS rules, safeguarding requirements and wider regulatory expectations for financial services firms.
• Strong technical audit and accounting knowledge, including UK GAAP and auditing standards.
• Experience reviewing reconciliations, control frameworks, governance arrangements and risk management processes.
• Ability to identify control deficiencies, regulatory issues and practical recommendations for remediation.
• Experience supervising, coaching and developing junior team members.
• Excellent communication and interpersonal skills, with the ability to explain technical matters clearly to clients and colleagues at all levels.
• Highly organised, with the ability to manage multiple assignments, prioritise workloads and meet deadlines.
• Commercially aware, with the confidence to identify opportunities to add value to clients and support business development activity.
• Proactive and self-motivated, with the ability to use initiative and work independently when required.
• Adaptable and responsive to changing priorities, regulatory developments and client needs.
• Strong attention to detail and commitment to delivering high-quality work.
• Ability to establish credibility and trust with clients, colleagues and senior stakeholders.
• Experience in audit quality, technical review or regulatory assurance would be advantageous.

Benefits