CASS Compliance & Reporting Analyst

Legal & General; Cardiff; Hybrid; GBP 42,000 - 60,000; Full time

Benefits offered by this job

Annual bonus

Share schemes

Pension

Healthcare plan

25 days holiday

Electric car scheme

Discounts

Job summary

Legal & General is recruiting a Technical CASS Analyst to join the Oversight function. You will support CASS compliance, prepare MI and reports for the FCA, and assist with audits and control improvements across Asset Management and PMS products.

The role involves monitoring CASS breaches, producing committee papers for the CASSROC, and collaborating with the UTM CASS team to strengthen client asset controls. Strong regulatory knowledge and MI skills are essential.

Qualifications

• Ability to analyse management information (MI) and produce insightful reports, conclusions and recommendations.
• Strong organisational and prioritisation skills, with the ability to manage competing deadlines.
• Proven ability to build and maintain effective stakeholder relationships and manage stakeholder expectations.
• Excellent written and verbal communication skills, with the ability to communicate effectively at all levels of the organisation.
• Understanding of risk management, governance and control frameworks within a regulated financial services environment.
• Experience in an MI, risk, oversight or regulatory compliance role
• Previous technical experience within the financial services industry
• Experience of interpreting regulatory requirements and assessing the effectiveness of associated controls and processes
• Sound understanding of the FCA's Client Assets Sourcebook (CASS) requirements
• Working knowledge of the FCA regulatory framework applicable to ISAs, investment products and pension products

Responsibilities

• Provide timely and accurate CASS reporting and MI to support effective oversight and escalation of material risks, issues and trends.
• Collate and consolidate monthly CMAR reports, annual stratification surveys and ad hoc FCA requests to ensure timely, accurate information for review by the CASS Consultant
• Support the team with prompt information regarding CASS matters within legal entities to maintain oversight
• Take action on material breaches, issues or trends
• Assist in administering the CASS Oversight Review Committee (CASSROC) with management information and papers
• Contribute to the CASS Assurance Plan through testing and reporting of control effectiveness
• Support external audit activities including the annual CASS audit and remediation of breaches
• Build and maintain relationships with business areas to support risk identification and control improvements
• Monitor and assess the effectiveness of CASS-related systems and controls, including outsourced arrangements

Skills

MI reporting

Stakeholder management

Regulatory knowledge

Communication

Risk management

Job description

Legal & General is recruiting a Technical CASS Analyst to join the Oversight function. You will support CASS compliance, prepare MI and reports for the FCA, and assist with audits and control improvements across Asset Management and PMS products.

The role involves monitoring CASS breaches, producing committee papers for the CASSROC, and collaborating with the UTM CASS team to strengthen client asset controls. Strong regulatory knowledge and MI skills are essential.