CASS Specialist

Saxton Leigh; Greater London; Sur place; GBP 70 000 - 100 000; Plein temps

Résumé du poste

Saxton Leigh is seeking a CASS Specialist to join its Operations team, reporting to the COO. The role focuses on implementing and embedding CASS requirements across the business while supporting growth.

Responsibilities include maintaining CASS 6/7/10 controls, conducting audits, and delivering training. The candidate should have experience in broker-dealer or asset manager settings and a strong grasp of UK regulatory requirements.

Qualifications

• Several years’ relevant experience in a CASS-focused compliance, internal audit or operations role within a broker-dealer, investment bank or asset manager.
• Strong working knowledge of CASS 6, CASS 7 and CASS 10, and related FCA Handbook provisions.
• Experience with client money/custody asset reconciliation processes and controls.

Responsabilités

• Own day-to-day compliance with CASS 6 (custody assets) and CASS 7 (client money).
• Design, implement and monitor systems and controls for client money/custody asset segregation, reconciliation and record-keeping.
• Act as primary liaison for the annual CASS audit under SUP 3.10, coordinating auditor requests and remediating findings.
• Maintain and update the CASS Resolution Pack (CASS 10).
• Deliver CASS training to front-office, operations and support functions.
• Prepare CASS-related MI and reporting for senior management and governance committees.

Connaissances

CASS knowledge

Audit/Compliance

Regulatory reporting

Process improvement

Stakeholder management

Description du poste

A leading international securities business is looking for a CASS Specialist to join its growing Operations team, reporting directly to the COO.

The role will focus on implementing and embedding CASS requirements across the business while supporting the business as it expands.

Key Responsibilities:

• Own day-to-day compliance with CASS 6 (custody assets) and CASS 7 (client money) across businesses
• Design, implement and monitor systems and controls for client money/custody asset segregation, reconciliation and record-keeping
• Act as primary liaison for the annual CASS audit under SUP 3.10, coordinating auditor requests and remediating findings
• Maintain and update the CASS Resolution Pack (CASS 10)
• Review and advise on client documentation, including custody agreements, client money agreements and title transfer collateral arrangements (TTCAs), ensuring proportionality and correct classification
• Monitor, investigate and report CASS breaches, maintaining the firm’s breach log and escalation process
• Deliver CASS training to front-office, operations and support functions
• Track and interpret regulatory developments (FCA Handbook Notices, Dear CEO letters, consultation/policy papers) affecting CASS, and update policies and procedures accordingly
• Support the CASS Operational Oversight Function holder in meeting their SM&CR responsibilities
• Prepare CASS-related MI and reporting for senior management and relevant governance committees

Requirements:

• Several years’ relevant experience in a CASS-focused compliance, internal audit or operations role within a broker-dealer, investment bank or asset manager
• Strong working knowledge of CASS 6, CASS 7 and CASS 10, and related FCA Handbook provisions
• Practical experience managing or supporting CASS audits under SUP 3.10
• Experience with client money/custody asset reconciliation processes and controls
• Familiarity with title transfer collateral arrangements (TTCAs) and collateral management
• Strong understanding of the UK regulatory framework applicable to investment firms (FCA, MiFID II/UK onshored regime)