Regulatory Solutions CASS Product Oversight & Governance - Associate

ENGINEERINGUK; London; Hybrid; GBP 40,000 - 70,000; Full time

Job summary

A forward-thinking company is seeking a dedicated Associate to join their Regulatory Solutions team. This role offers the opportunity to oversee client money records and ensure compliance with CASS regulations. You will play a pivotal role in delivering high-quality management information, mentoring junior analysts, and driving process improvements through automation. The ideal candidate will possess strong analytical skills, excellent communication abilities, and a passion for problem-solving. Join a collaborative environment that values innovation and supports your professional growth while making a significant impact in the financial services sector.

Benefits

Retirement Planning

Education Reimbursement

Health and Well-being Resources

Family Support

Flexible Time Off

Qualifications

• 2-5 years of experience in financial services with client money and mandate records.
• Strong analytical skills and attention to detail for high-quality reporting.

Responsibilities

• Oversee and mentor junior analysts while ensuring high-quality CASS reporting.
• Manage client money records, produce daily reconciliations, and support audit activities.

Skills

Microsoft Office

Problem-solving

Communication Skills

Relationship Management

Attention to Detail

Analytical Skills

Planning and Organizational Skills

Financial Services Experience

Knowledge of FCA CASS Rules

Education

Investment Operations Certificate (IOC)

Tools

GenAI

Robotics

Macros

Job description

Regulatory Solutions CASS Product Oversight & Governance - Associate

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Sector: Banking and Financial Services

Role: Associate

Contract Type: Permanent

Hours: Full Time

About this role

Functional & Team Overview

Regulatory Solutions is a growing team delivering end-to-end operations, oversight, metrics, and change management for complex regulations impacting BlackRock and its clients. We are implementing new regulations and driving business growth through risk-based solutions. The successful candidate will contribute to this evolution.

The CASS Governance & Oversight ("CGO") Team ensures BlackRock's compliance with UK client money and assets regulations ("CASS") imposed by the FCA. We aim for CASS excellence!

Role Responsibilities

This full-time Associate role focuses on delivering CASS reporting and quality management information. The Associate will oversee and mentor junior analysts, automate processes, and ensure high-quality reporting. Responsibilities include:

• Review and manage client money records and bank accounts
• Produce daily client money books, records, and reconciliations
• Manage CASS 8 mandate listings and records
• Complete and review monthly CMAR for the Head of CASS
• Raise exceptions and discrepancies promptly
• Investigate and resolve queries with business partners
• Analyze error trends for process improvements
• Document issues, analyze root causes, and define remedial steps
• Support audit activities and respond to auditor queries
• Deliver management information for various organizational levels
• Assist in organizing CASS Governance Committee meetings
• Maintain CASS risk & control frameworks
• Develop procedures, processes, and controls
• Maintain CASS Resolution Packs and client money statements
• Support project activities and continuous improvements
• Innovate in reporting and automation

Knowledge/Experience

Essential

• Proficiency in Microsoft Office
• Excellent communication skills
• Results-oriented with problem-solving passion
• Relationship management skills
• Understanding of risks and controls in financial services
• Attention to detail and analytical skills
• Ability to produce high-quality MI
• Strong planning and organizational skills
• Curiosity and initiative
• Teamwork and independence
• Deadline management and multitasking in high-pressure environments
• 2-5 years of financial services experience
• Experience with client money and mandate records and reconciliations
• Knowledge of FCA CASS rules

Preferred

• Experience in process and control improvements
• Automation skills using GenAI, robotics, macros
• Investment Operations Certificate (IOC) or similar

Benefits

We offer a wide range of benefits including retirement planning, education reimbursement, health and well-being resources, family support, and Flexible Time Off.

Hybrid Work Model

Employees work at least 4 days in-office and 1 day remotely, with flexibility depending on role requirements. This model supports collaboration and onboarding.

About BlackRock

Our mission is to help people achieve financial well-being. We serve diverse clients globally, fostering an inclusive environment where employees thrive. For more info, visit our website and social channels.

BlackRock is an Equal Opportunity Employer, evaluating applicants without regard to protected characteristics.