CASS Specialist - Compliance & Controls Lead

Saxton Leigh; England; On-site; GBP 70,000 - 110,000; Full time

Job summary

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

You will own day-to-day CASS compliance, design controls for client money and custody assets, coordinate audits under SUP 3.10, and contribute to policy updates and governance reporting.

Qualifications

• Extensive experience in CASS-focused compliance, internal audit or operations.
• Strong knowledge of CASS 6, 7 and 10 and related FCA provisions.
• Experience managing or supporting CASS audits under SUP 3.10.
• Experience with client money/custody asset reconciliation and controls.
• Familiarity with TTCAs and collateral management.
• Understanding UK regulatory framework for investment firms (FCA, MiFID II).

Responsibilities

• Own day-to-day compliance with CASS 6 and CASS 7 across businesses.
• Design, implement and monitor client money and custody asset controls.
• Coordinate annual CASS audit under SUP 3.10 and remediate findings.
• Maintain the CASS Resolution Pack (CASS 10).
• Review client documentation including custody and money agreements and TTCAs.
• Monitor, investigate and report CASS breaches.
• Deliver CASS training to front-office, operations and support.
• Track regulatory developments and update policies accordingly.
• Support SM&CR responsibilities of the Oversight Function holder.
• Prepare CASS-related MI and reporting for senior management.

Skills

CASS 6

CASS 7

CASS 10

FCA Handbook

SUP 3.10 Audit

Tools

Regulatory reporting

Audit coordination

Job description

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

You will own day-to-day CASS compliance, design controls for client money and custody assets, coordinate audits under SUP 3.10, and contribute to policy updates and governance reporting.