CASS Oversight Manager

Hargreaves PLC; United States; Hybrid; USD 90,000 - 126,000; Full time

Benefits offered by this job

Discretionary bonus

Annual pay review

25 days holiday

Hybrid working

Pension scheme 11%

Job summary

Hargreaves Lansdown is seeking an experienced professional to oversee client asset governance, ensuring CASS compliance and effective risk management across operations.

You will engage regulators and auditors, challenge control effectiveness, and support remediation of incidents while contributing to continuous oversight improvements.

Qualifications

• Experience in client asset oversight within a regulated financial services environment.
• Ability to apply regulatory requirements in a practical business context.
• Experience presenting risk/regulatory/governance reporting to senior management.

Responsibilities

• Oversee client asset governance activities including risk assessments and committee reporting.
• Review changes to client asset processes and controls during transformations.
• Engage regulators, auditors and assurance providers on oversight matters.

Skills

Client asset oversight

CASS compliance

Regulatory reporting

Stakeholder management

Regulated financial services

Job description

thematic reviews, regular monitoring and targeted assessments, ensuring risks to client assets are identified and mitigated effectively. Provide expert advice and constructive challenge on client asset matters, supporting effective management of CASS risks across business operations, outsourcing arrangements and change initiatives. Oversee the assessment, escalation and remediation of client asset incidents, breaches and near misses, ensuring compliance with regulatory and internal governance requirements. Review and challenge changes to client asset processes, systems and controls, including significant transformation activities, to ensure client assets remain appropriately protected. Manage client asset governance activities, including risk assessments, management information, committee reporting, maintenance of CASS Resolution Packs and regulatory submissions. Promote a strong culture of client asset protection through stakeholder engagement, training and the provision of practical guidance on regulatory requirements. Support engagement with regulators, auditors and other assurance providers on client asset oversight matters including supervisory reviews, external audits and regulatory information requests. Contribute to the continuous improvement of client asset oversight frameworks, policies, standards and methodologies, and deputise for senior members of the function as required.

About you

Experience in client asset oversight, CASS compliance, risk, audit, compliance or governance roles within a regulated financial services environment. Good working knowledge of client asset regulatory requirements and reporting obligations, with the ability to apply regulatory requirements in a practical business context. Experience of preparing and presenting risk, regulatory or governance reporting to senior management and governance forums. Experience supporting interactions with regulators, auditors and other assurance providers within a regulated environment. Strong analytical skills, with the ability to assess risks, evaluate control effectiveness and identify appropriate solutions. Strong communication and stakeholder management skills, with the ability to provide constructive challenge and influence outcomes at all levels of the organisation.

Interview process

This will be a one stage interview process.

Working Schedule

This role is based in Bristol head office, BS2 0PS. This role is permanent, full time, 37.5 hours per week, Monday to Friday.

Why us?

Here at HL, we're the UK's number 1 investment platform for private investors, based in Bristol. For more than 40 years we've helped investors save time, tax and money on their investments. To achieve our mission, we believe we have a workplace like no other, with constant learning, dynamic teams, and a great ethos. We're steered by core values that promote service, quality, innovation, and opportunity in everything we do.

What's on offer?

Discretionary annual bonus

• and annual pay review
• 25 days
• holiday plus bank holidays and 1-day additional Christmas closure
• Option to purchase an additional 5 days holiday
• Flexible working options available, including hybrid working
• Enhanced parental leave
• Pension scheme up to 11% employer contribution
• Income Protection and Life insurance (4 x salary core level of cover)
• Private medical insurance
• Health care cash plans - including optical, dental, and outpatient care
• Health screening programme
• Help@hand - confidential support including mental health counselling and remote GP
• Wellhub - unlimited access to fitness providers and wellness coach sessions
• Variety of travel to work schemes with bike storage and shower facilities
• Inhouse barista and deli serving subsidised coffee and sandwiches
• Two paid volunteering days per year dependant on role level only available to select during our annual benefits window, in November each year?
• Hargreaves Lansdown is an inclusive employer that values diversity in its workforce.
• We encourage applications from all individuals without regard to race, religion, gender, sexual orientation, national origin, disability or age.
• Please note, we are unable to provide employment sponsorship to candidates.