CASS Compliance Analyst - Regulatory Risk & Incident Expert

Wealthify; Penarth; On-site; GBP 70,000 - 90,000; Full time

Benefits offered by this job

Private Medical Insurance

Death in Service Cover

Income Protection Insurance

Company Pension Plan

Job summary

Wealthify is seeking a CASS Lead to oversee client asset rules and compliance, reporting to the CASS Lead. You will provide SME input to operations and work with the development team on compliant automation.

You will engage with banking partners, manage incidents, and support annual audits while keeping abreast of regulatory changes affecting the business. This is a hands-on, senior compliance role in Cardiff.

Qualifications

• Understanding of the FCA’s client asset (CASS) regulations.
• Knowledge of the investment industry and direct to consumer platform systems and processes.
• Experience delivering high quality outputs within a robust control and regulatory framework to tight deadlines.
• Motivation to be a highly driven, energetic team member who can engage with leadership and the business.
• Ability to assess risks, evaluate impacts and develop appropriate responses.

Responsibilities

• Operational oversight of ongoing compliance with CASS rules.
• Provide subject matter expertise to operational teams on CASS matters.
• Manage CASS incidents and breaches and coordinate remediation with the development team.
• Support the change agenda by delivering highly automated CASS-compliant processes.
• Interact with third-party banking and custody providers.
• Complete CASS activities per the CASS calendar, including CMAR submissions and audit support.
• Maintain best practices by staying updated on industry and regulatory CASS developments.

Skills

CASS regulations

Investment industry knowledge

Regulatory framework

Risk assessment

Communication skills

Teamwork

Decision making

Job description

Wealthify is seeking a CASS Lead to oversee client asset rules and compliance, reporting to the CASS Lead. You will provide SME input to operations and work with the development team on compliant automation.

You will engage with banking partners, manage incidents, and support annual audits while keeping abreast of regulatory changes affecting the business. This is a hands-on, senior compliance role in Cardiff.