About the Company

A unique opportunity to join a firm at a pivotal stage of its growth and gain broad, business-wide CASS exposure without the traditional silos, working across Legal, Compliance, Client Services and Operations while building a genuinely rounded understanding of the wider CASS environment.

About the Role

• Support the maintenance of CASS policies, procedures, systems and controls, including the CASS Resolution Pack and periodic testing.
• Assist with oversight of Operations and Reconciliations, including the review of breaks, funding actions and CASS-related issues.
• Support the recording and assessment of CASS incidents and breaches, including root cause analysis and escalation where required.
• Assist with key CASS activities including CMAR preparation, Client Money Acknowledgment Letters, TTCA assessments and third-party due diligence.
• Support CASS audits, Internal Audit and Compliance Monitoring through walkthroughs, evidence gathering and information requests.
• Contribute to process and control improvements, CASS-related change initiatives and wider CASS awareness across the business.

Required Skills

• Strong understanding of the FCA CASS rules, specifically CASS 6, 7, 8 and 10.
• Experience providing CASS oversight of reconciliations, breaks, breach management, CMAR and RP maintenance.
• Prior experience with a brokerage, custodian or platform.
• Excellent problem solving, team and time management skills.
• Strong communication and stakeholder management skills, with the ability to influence across teams.
• Ability to analyse data, interpret regulation and identify control gaps and weaknesses, often working with large data sets.

Preferred Skills/Qualifications

• Prior experience with a brokerage, custodian or platform.
• CISI CASS Qualification or interest in obtaining the qualification