dnevo Partners
CASS Subject Matter Expert (SME)
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An established FCA-authorised broker-dealer is seeking an experienced CASS Subject Matter Expert to strengthen its client money and custody asset control framework across the firm and a UK subsidiary.
Reporting to the Head of Compliance, the successful candidate will act as the organisation’s principal internal expert on CASS 6, CASS 7 and CASS 10. This is a hands-on role combining regulatory interpretation, operational oversight, audit management and senior stakeholder engagement.
Key responsibilities
- Own day-to-day compliance with CASS 6 and CASS 7 across the relevant UK businesses.
- Design, implement and monitor controls relating to client money and custody asset segregation, reconciliation and record-keeping.
- Act as the primary liaison for the annual CASS audit under SUP 3.10, coordinating requests and overseeing the remediation of findings.
- Maintain and update the firm’s CASS Resolution Pack.
- Review client documentation, including custody agreements, client money arrangements and title transfer collateral arrangements.
- Monitor, investigate and report CASS breaches, maintaining the breach log and escalation process.
- Provide practical CASS advice in relation to new products, client agreements and collateral arrangements.
- Deliver CASS training to front-office, operations and support teams.
- Monitor relevant FCA regulatory developments and update policies, procedures and controls accordingly.
- Support the CASS Operational Oversight Function holder in meeting their SM&CR responsibilities.
- Prepare CASS-related management information and reporting for senior management and governance committees.
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The successful candidate will have
- Several years’ 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.
- Practical experience managing or supporting CASS audits under SUP 3.10.
- Experience of client money and custody asset reconciliation processes and controls.
- Knowledge of title transfer collateral arrangements and collateral management.
- A strong understanding of the UK regulatory framework applicable to investment firms, including FCA requirements and the UK MiFID regime.
- Excellent communication skills and the ability to explain complex regulatory requirements clearly to non-specialist stakeholders.
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Desirable experience
- A relevant professional qualification, such as the ICA Diploma in Compliance, IOC or equivalent.
- Experience preparing or maintaining a CASS Resolution Pack and supporting firm failure or resolution planning.
- Knowledge of SM&CR and the CASS Operational Oversight Function.
- Experience across securities, derivatives or prime brokerage business lines.
This is an excellent opportunity for an established CASS specialist to take ownership of a critical regulatory framework within an institutional brokerage environment.
To discuss the role confidentially, please apply or contact Nikolai Balzer at dnevo Partners.
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