CASS Governance Senior Specialist

Vanguard; City Of London; Hybrid; GBP 70,000 - 90,000; Full time

Job summary

A leading financial services firm in London is seeking a highly motivated CASS Governance Senior Specialist. This role ensures compliance with FCA's CASS rules and involves leading governance initiatives, enhancing the control framework, and conducting audits. The ideal candidate has over 5 years of financial services experience, strong analytical skills, and ability to manage multiple priorities. The company supports a hybrid working model to enhance collaboration.

Qualifications

• Strong understanding of FCA CASS rules and their application.
• Proven experience in CASS oversight or operational control.
• Excellent analytical and problem-solving skills.

Responsibilities

• Lead CASS governance initiatives across operational functions.
• Enhance and maintain the CASS control framework.
• Act as lead for annual external CASS audits.
• Chair monthly CASS Governance forum and attend committees.
• Provide expertise on CASS rules across the business.

Skills

Understanding of FCA CASS rules

Analytical skills

Stakeholder management

Problem-solving skills

Ability to manage priorities

Job description

We are seeking a highly motivated and detail-oriented CASS Governance Senior Specialist to join our CASS Governance team. This role is critical in ensuring the firm’s compliance with the FCA’s Client Asset Sourcebook (CASS) rules and maintaining robust governance and control frameworks. You will play a key role in monitoring, enhancing, and embedding CASS oversight across operational processes.

Core Responsibilities

• Lead and support CASS governance initiatives across the firm’s operational functions both internally and externally.

• Maintain and enhance the CASS control framework, including oversight of CASS RP, CMAR, and breach management.

• Act as lead for the annual external CASS audit and any internal audits or compliance monitoring reviews.

• Chair the firm’s monthly CASS Governance forum and attend governance committees with third party providers.

• Provide subject matter expertise on CASS rules and their application across the business.

• Maintain & enhance robust governance and monitoring frameworks for outsourced CASS activities.

• Support the development of assurance testing plan for outsourced CASS controls & processes, assess results and advise on required control enhancements.

• Conduct regular due diligence of third-party providers and banking partners with regards to CASS related activities, collaborating to address any issues or breaches.

Required Skills & Qualifications

• Strong understanding of FCA CASS rules and their practical application.

• Proven experience in a CASS oversight, governance, or operational control role within financial services.

• Excellent analytical and problem-solving skills.

• Strong communication and stakeholder management abilities.

• Ability to work independently and manage multiple priorities.

Preferred Experience

· 5+ years in financial services, with a focus on CASS governance or operational risk.

How We Work

How We Work

Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.