Unitas CASS Officer

Apex Group Ltd (UK Branch); Greater London; On-site; GBP 70,000 - 90,000; Full time

Job summary

A leading financial services company is seeking a CASS Oversight Officer in London to manage CASS compliance and oversee auditor relationships. The ideal candidate should have at least 5 years of CASS operational experience and a degree qualification. Responsibilities include planning CASS audits and ensuring compliance with regulations. As part of a dynamic team, you will have the opportunity to contribute significantly to the company's operational processes and compliance standards.

Qualifications

• 5 years CASS operational experience, preferably in an oversight role.
• Detailed technical knowledge of CASS 5 and 6 regulations.
• Ability to generate quarterly Board reporting.

Responsibilities

• Manage the CASS auditor relationship.
• Plan and run the firm’s CASS audit.
• Ensure compliance with CASS 5 and 6 regulations.

Skills

CASS operational experience

Degree qualification

Knowledge of CASS 5 and 6

CASS monitoring programme management

Board reporting presentation

Proactive self-starter

Education

Degree qualification

Recognised compliance study progress

Job description

The Apex Group was established in Bermuda in 2003 and is now one of the world’s largest fund administration and middle office solutions providers.

Our business is unique in its ability to reach globally, service locally and provide cross‑jurisdictional services. With our clients at the heart of everything we do, our hard‑working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide. Your career with us should reflect your energy and passion.

That’s why, at Apex Group, we will do more than simply ‘empower’ you. We will work to supercharge your unique skills and experience.

Take the lead and we’ll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry‑changing realities.

For our business, for clients, and for you

Apex Unitas Limited

CASS Oversight Officer

Responsible for managing CASS for the company.

Responsible for the CASS auditor relationship, running the firm’s CASS audit, including planning, regular progress meetings, final reporting, company Board presentation and sign off, and dialogue with the auditor. (The company’s operations teams have responsibility for liaison with and provision of CASS audit fieldwork).

The role will be responsible for ongoing service process review and redesign to ensure the company’s compliance with CASS 5 and 6 regulations.

The role will have input to and be responsible for ensuring CASS compliance for new services launched by the company.

The role is a Certified Management Function as defined by the FCA Senior Managers regime.

Role expertise and experience requirements

• 5 years CASS operational experience, preferably in an oversight role
• Degree qualification as well as recognised compliance study progress
• Detailed technical knowledge of CASS 5 and 6
• Proven ability to run CASS monitoring programme
• Ability to generate quarterly Board reporting and to present CASS reporting to the Board.
• Knowledge of operational processes and ability to review processes for alignment with CASS rules and provide feedback and required changes/improvements as part of a structure sign off process.
• Proactive, self-starter

The above is not an exhaustive list of day‑to‑day responsibilities.

Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.