CASS Risk & Compliance Analyst

AJ Bell; Manchester; Hybrid; GBP 32,000 - 39,000; Full time

Benefits offered by this job

Salary from £35,000

25 days holiday

6% Pension with matched contributions

Discretionary bonus

Share schemes

Health Cash Plan

Free onsite gym

Enhanced family leave

Travel and bike loan schemes

Employee Assistance Programme

Job summary

AJ Bell is looking for a CASS Analyst to join our CASS team in Manchester. You will support operational teams to comply with FCA CASS rules, deliver risk-based monitoring, and help maintain robust controls across the business in a hybrid working environment.

The ideal candidate will have FCA CASS experience, strong analytical skills, and a relevant degree or equivalent experience. We offer a salary from £35,000 plus benefits and development opportunities.

Qualifications

• FCA CASS experience and knowledge, particularly chapters 6, 7, 8 & 10 of the CASS handbook
• Completion (or part completion) of CISI CASS Level 3 qualification is desirable
• Experience in performing process reviews and report writing
• Experience working with Microsoft Office, including Excel, Word and PowerPoint
• Excellent problem solving and decision-making skills with the ability to compile and evaluate data for decision making
• Strong verbal and written communication skills
• Good understanding of financial services is desirable
• A bachelor’s degree in a relevant field of study (or equivalent workplace experience) is desirable

Responsibilities

• Undertake an annual risk-based CASS monitoring plan
• Identify and manage CASS related risks
• Maintain the CASS Risk and Control Assessment to enable the firm to develop and strengthen CASS controls
• Under testing to assess effectiveness of key CASS controls
• Identify, document and elevate CASS breaches, collaborate with the wider business to implement preventative controls
• Undertake root cause and trend analysis to enable the production of Management Information
• Provide support and assist in the delivery of training to operational teams
• Support change initiatives, assessing the impact on CASS processes
• Represent the CASS team in relevant discussions and meetings
• Maintain CASS Resolution Pack documentation and other CASS policies
• Facilitate internal & external CASS audits, supporting walkthroughs and sampling
• Ensuring all duties are carried out in full compliance with regulatory requirements, including consumer duty.
• Following structured processes to deliver accurate outcomes to meet regulatory requirements, including consumer duty and deliver the best possible customer experience.
• Approach vulnerable customers using best practice and document any reasonable steps taken for their fair treatment.

Skills

FCA CASS experience

CASS Level 3 qualification desirable

Process reviews and report writing

Microsoft Office (Excel, Word, PowerPt

Education

Bachelor's degree in a relevant field or equivalent

CISI CASS Level 3 qualification (partial/completion) desirable

Tools

Microsoft Office (Excel, Word, PowerPoint)

Job description

AJ Bell is looking for a CASS Analyst to join our CASS team in Manchester. You will support operational teams to comply with FCA CASS rules, deliver risk-based monitoring, and help maintain robust controls across the business in a hybrid working environment.

The ideal candidate will have FCA CASS experience, strong analytical skills, and a relevant degree or equivalent experience. We offer a salary from £35,000 plus benefits and development opportunities.