CASS Oversight Manager

Hargreaves Lansdown PLC; West of England; Hybrid; GBP 70,000 - 95,000; Full time

Benefits offered by this job

Discretionary annual bonus

25 days holiday

Hybrid working

Pension up to 11% Employer

Private medical insurance

Job summary

Hargreaves Lansdown PLC is seeking a dedicated professional to join the CASS Oversight team in Bristol. You will oversee client asset activities, provide expert guidance on CASS risks, and help ensure robust governance across operations and change initiatives.

The role requires experience in regulated financial services, strong analytical skills, and the ability to influence outcomes with regulators, auditors and senior management across the organisation.

Qualifications

• Experience in client asset oversight, CASS compliance, risk, audit, compliance or governance roles within a regulated financial services environment.
• Good working knowledge of client asset regulatory requirements and reporting obligations, with the ability to apply regulatory requirements in a practical business context.
• Experience of preparing and presenting risk, regulatory or governance reporting to senior management and governance forums.
• Experience supporting interactions with regulators, auditors and other assurance providers within a regulated environment.
• Strong analytical skills, with the ability to assess risks, evaluate control effectiveness and identify appropriate solutions.

Responsibilities

• Deliver defined client asset oversight activities including thematic reviews, regular monitoring and targeted assessments, ensuring risks to client assets are identified and mitigated effectively.
• Provide expert advice and constructive challenge on client asset matters, supporting effective management of CASS risks across business operations, outsourcing arrangements and change initiatives.
• Oversee the assessment, escalation and remediation of client asset incidents, breaches and near misses, ensuring compliance with regulatory and internal governance requirements.
• Review and challenge changes to client asset processes, systems and controls, including significant transformation activities, to ensure client assets remain appropriately protected.
• Manage client asset governance activities, including risk assessments, management information, committee reporting, maintenance of CASS Resolution Packs and regulatory submissions.
• Promote a strong culture of client asset protection through stakeholder engagement, training and the provision of practical guidance on regulatory requirements.
• Support engagement with regulators, auditors and other assurance providers on client asset oversight matters including supervisory reviews, external audits and regulatory information requests.
• Contribute to the continuous improvement of client asset oversight frameworks, policies, standards and methodologies, and deputise for senior members of the function as required.

Skills

Client asset oversight

Regulatory compliance

Risk management

Audit & governance

Stakeholder engagement

Job description

Excited to grow your career? Our purpose is to make it easy for people to save and invest for a better future. We are looking for great people to join us, so please come and invest in YOUR future at Hargreaves Lansdown. We know that sometimes people can be put off applying for a job if they don't tick every box. If you're excited about working for us and have most of the skills or experience we're looking for, please go ahead and apply. We’d love to hear from you!

About the role

We have an exciting opportunity to join the CASS Oversight team - Hargreaves Lansdown’s specialist team that oversees our arrangements for protecting our clients’ money and investments. The role involves working with a diverse range of stakeholders at different levels both within the organisation and outside and presents the opportunity for both personal and professional development for the right candidate.

What you’ll be doing

Deliver defined client asset operational oversight activities including thematic reviews, regular monitoring and targeted assessments, ensuring risks to client assets are identified and mitigated effectively.

Provide expert advice and constructive challenge on client asset matters, supporting effective management of CASS risks across business operations, outsourcing arrangements and change initiatives.

Oversee the assessment, escalation and remediation of client asset incidents, breaches and near misses, ensuring compliance with regulatory and internal governance requirements.

Review and challenge changes to client asset processes, systems and controls, including significant transformation activities, to ensure client assets remain appropriately protected.

Manage client asset governance activities, including risk assessments, management information, committee reporting, maintenance of CASS Resolution Packs and regulatory submissions.

Promote a strong culture of client asset protection through stakeholder engagement, training and the provision of practical guidance on regulatory requirements.

Support engagement with regulators, auditors and other assurance providers on client asset oversight matters including supervisory reviews, external audits and regulatory information requests.

Contribute to the continuous improvement of client asset oversight frameworks, policies, standards and methodologies, and deputise for senior members of the function as required.

About you

Experience in client asset oversight, CASS compliance, risk, audit, compliance or governance roles within a regulated financial services environment.

Good working knowledge of client asset regulatory requirements and reporting obligations, with the ability to apply regulatory requirements in a practical business context.

Experience of preparing and presenting risk, regulatory or governance reporting to senior management and governance forums.

Experience supporting interactions with regulators, auditors and other assurance providers within a regulated environment.

Strong analytical skills, with the ability to assess risks, evaluate control effectiveness and identify appropriate solutions.

Strong communication and stakeholder management skills, with the ability to provide constructive challenge and influence outcomes at all levels of the organisation.

Interview process

This will be a one stage interview process.

Working Schedule

This role is based in Bristol head office, BS2 0PS. This role is permanent, full time, 37.5 hours per week, Monday to Friday.

Why us?

Here at HL, we’re the UK’s number 1 investment platform for private investors, based in Bristol. For more than 40 years we’ve helped investors save time, tax and money on their investments. To achieve our mission, we believe we have a workplace like no other, with constant learning, dynamic teams, and a great ethos. We're steered by core values that promote service, quality, innovation, and opportunity in everything we do.

What's on offer?

• Discretionary annual bonus* and annual pay review
• 25 days* holiday plus bank holidays and 1-day additional Christmas closure
• Option to purchase an additional 5 days holiday**
• Flexible working options available, including hybrid working
• Enhanced parental leave
• Pension scheme up to 11% employer contribution
• Income Protection and Life insurance (4 x salary core level of cover)
• Private medical insurance*
• Health care cash plans - including optical, dental, and outpatient care
• Health screening programme
• Help@hand - confidential support including mental health counselling and remote GP
• Wellhub - unlimited access to fitness providers and wellness coach sessions
• Variety of travel to work schemes with bike storage and shower facilities
• Inhouse barista and deli serving subsidised coffee and sandwiches
• Two paid volunteering days per year * dependant on role level
• ** only available to select during our annual benefits window, in November each year

Hargreaves Lansdown is an inclusive employer that values diversity in its workforce. We encourage applications from all individuals without regard to race, religion, gender, sexual orientation, national origin, disability or age.

This role may also be available on a flexible working or part time basis - please ask the Recruitment & Onboarding team for more information.

Please note, we are unable to provide employment sponsorship to candidates.

Hargreaves Lansdown is the UK's number one platform for private investors. Our purpose is to empower people to save and invest with confidence, and today, we are trusted with more than £120 billion by over 1.7 million clients. We are based in the heart of Bristol now with over 2,000 colleagues. We believe we have a workplace like no other, with constant learning, dynamic teams and a great ethos. We're steered by our core values that promote service, quality, innovation, and opportunity in everything we do. For more information about careers at HL and to see all our vacancies, please visit our careers website.