Kohort Recruitment | Leading CASS, Legal and Compliance Recruitment in FS
CASS Operational Oversight Analyst
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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.
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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.
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Preferred Skills/Qualifications
- Prior experience with a brokerage, custodian or platform.
- CISI CASS Qualification or interest in obtaining the qualification
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