Regulatory Compliance

CASS Operations Specialist

Ref: 480| Posted: 7th Jun 2019

This vacancy is now closed
Reporting directly into the CASS Operations Manager. Assist with the development and support of the CASS Operations team.

One of the UK’s leading providers of personalised, discretionary wealth management services, offering investment management and financial planning services to meet the needs of investors and intermediaries.


  • Experience within the Financial Services Industry.
  • Good knowledge of Microsoft Office.
  • Detailed knowledge of client money, assets and custody rules, regulations, guidance and industry best practice especially around CASS
  • Experience of Risk and Regulation
  • Proven track record of operating in a highly regulated environment
  • Effective communication skills both written and oral.
  • Accurate, with attention to detail.
  • Ability to plan, prioritise and organise workload to meet deadlines.
  • Ability to work as part of a team.
  • Excellent time management skills.
  • Ability to self-motivate and use own initiative.
  • Good keyboard skills.

  • Take ownership of role and share CASS expertise with others
  • Assist with the efficient running of the team to ensure a high level of accuracy
  • Demonstrate personal commitment to the successful and accurate completion of tasks
  • Document and update team procedures in line with audit and regulatory requirements
  • Provide advice and support to team members and contribute to the development of the team.
  • Assist in the teams quality and accuracy checks
  • Support the maintenance of key CASS documents primarily CASS guidance material, CMAR procedures and the CASS team’s own process maps and procedures
  • Support delivery of MI and Reporting including compilation of CASSOC documentation.
  • Support the delivery of daily and monthly CMC and CMAR reporting
  • Contribute where required to all change initiatives ensuring timely delivery of allocated responsibilities.   
  • Control CASS SharePoint site
  • Reporting of CASS breaches to Compliance and CF10a

Competitive salary & good benefits 

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