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CASS Oversight Manager

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Looking for a CASS Oversight Specialist & experienced people leader. Please reach out if: - you have 10+ years working with CASS 6 & 7. - have covered CASS Reporting, Audit, Projects, Analysis of breaks (root cause analysis), and have handled changes in relation to CASS Reporting. - have led teams of 5+ in the past.




  • Responsible for the collation (including upkeep of documentation) and accurate submission of the CMAR (Client Money Asset Return) on a monthly basis to the FCA.
  • Conduct & chair meetings alongside the CF10a & senior management giving detailed explanation of the content of the monthly CMAR submission.
  • Ensure the CASS policies & procedures are compliant with regulatory requirements and provide sufficient control and oversight to the client asset rules from a Transaction Management perspective.
  • Fully understand systems and processes resulting in the ability to perform a detailed assessment of where CASS impacts may arise as a result of new products & processes being implemented.
  • Support the CASS rules mapping process to ensure that the relevant rules are mapped to the appropriate business process.
  • Monitor regulatory changes identifying business impacts and ensure appropriate changes are made so the business remains fit for purpose.
  • Act as a CASS Champion for the Oversight team in UK Operations ensuring attendance at meetings, discussing CASS breaches and cascading feedback to the team of relevant updates/changes.
  • Prepare and document monthly CASS Attestations for the Director for sign off.
  • Responsible for daily investigation and collation of the Shortfall Management process including MI for CASS Team and senior management.

Governance / Performance Oversight:

  • Review regional Oversight Governance Framework document annually or as required focusing on areas of responsibility.
  • Review Management Information relevant to agreed team KPIs highlighting issues and challenging appropriately.
  • Chair or participate in local meetings with outsourced/offshored providers, ensuring a clear agenda exists.
  • Produce or ensure production of minutes of actions, decisions and agreed escalations.
  • Undertake sample testing / spot checks including retention of evidences for the same to quality assure performance being delivered by Processing Location.
  • Perform annual due diligence surveys and visits to both Outsourced and Offshored providers (if necessary).
  • Clearly documented Escalation Decision Trees and Criteria.
  • Prepare documentation for local Oversight (internal committee meetings) ensuring minutes are recorded and distributed within 2 days of the meeting.
  • Prepare documentation for quarterly regional Senior Management Oversight meeting ensuring minutes are recorded and distributed within agreed deadlines.
  • Ensure issues identified in BAU or as part of an internal/external audit in relation to Oversight are tracked through to conclusion ensuring deadlines are met.
  • Partner with colleagues across Operations Control, Compliance, CASS reconciliations and other functions to ensure regulatory requirements meet the current and future regulations.
  • Manage the development of best practices by promoting this culture within all Oversight meetings with Service Providers.
  • Liaison in relation to Oversight matters with internal / external auditors and regulators if appropriate.
  • Successful resolution of all points raised in internal/external audits in relation to Oversight activities.
  • Attend relevant business forums and committees to note and challenge any items that may impact the Oversight function.
  • Maintain oversight of all outsourced/offshored related operational activities and manage all related issues to successful resolutions.
  • Build and maintain an understanding of systems and processes resulting in the ability to perform a detailed assessment of where Operational Oversight issues may arise as a result of new products and processes being implemented.
  • Set up and manage key relationships with relevant departments and employees to ensure required understanding of the Oversight model and management information is delivered on time.
  • To develop enhanced key performance measures to enable senior management to make decisions.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates

Contract Type: FULL_TIME

Specialism: Banking & Financial Services

Focus: Operations

Industry: Financial Services

Salary: £75,000 - £90,000 per annum

Workplace Type: Hybrid

Experience Level: Mid Management

Location: London

Job Reference: 51023843/001

Date posted: 17 May 2024

Consultant: Tom Andrew

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