Anonymous
CASS SME
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Role Overview
A newly created role within a leading global financial markets entity, whose UK headquarters is in the City of London
You’ll own and strengthen the client money and custody asset control framework
The role acts as the group’s principal internal expert on CASS 6 and CASS 7, providing hands-on oversight of client money and custody asset processes, leading engagement with the firm’s CASS auditors, and advising the business on the correct application of CASS rules to new products, client agreements, and collateral arrangements
Key Responsibilities
- Own day-to-day compliance with CASS 6 (custody assets) and CASS 7 (client money)
- Design, implement and monitor systems and controls for client money/custody asset segregation, reconciliation and record-keeping
- Act as primary liaison for the annual CASS audit under SUP 3.10, coordinating auditor requests and remediating findings
- Maintain and update the CASS Resolution Pack (CASS 10)
- Review and advise on client documentation, including custody agreements, client money agreements and title transfer collateral arrangements (TTCAs), ensuring proportionality and correct classification
- Monitor, investigate and report CASS breaches, maintaining the firm’s breach log and escalation process
- Deliver CASS training to front-office, operations, and support functions
- Track and interpret regulatory developments (FCA Handbook Notices, Dear CEO letters, consultation/policy papers) affecting CASS, and update policies and procedures accordingly
- Support the CASS Operational Oversight Function holder in meeting their SM&CR responsibilities
- Prepare CASS-related MI and reporting for senior management and relevant governance committees
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Required Experience
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- Several years’ relevant experience in a CASS-focused compliance, internal audit or operations role within a broker-dealer, investment bank or asset manager
- Strong working knowledge of CASS 6, CASS 7 and CASS 10, and related FCA Handbook provisions
- Practical experience managing or supporting CASS audits under SUP 3.10
- Experience with client money/custody asset reconciliation processes and controls
- Familiarity with title transfer collateral arrangements (TTCAs) and collateral management
- Strong understanding of the UK regulatory framework applicable to investment firms
- Excellent written and verbal communication skills, with the ability to explain complex regulatory requirements clearly to non-specialist audiences
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