CASS Manager

CASS Manager
Working for a prestigious Bank in a small team , you will be responsible for Client Assets Oversight, covering Client Money exemption, custody and collateral under the FCA CASS rules and client assets regulations in Jersey and Guernsey.
Summary of the key purposes of the role
  • Act as the primary liaison between the business and SMR 18 approved persons, with responsibility for Client Assets
  • Daily oversight of the Client Money Banking exemption
  • Monitoring and improving the control around the Client Money and Assets processes
  • Provide Senior Management with a greater level of assurance around Client Money and Assets
  • Reduce the risk of reputational and regulatory failings associated with Client Money and Assets
  • Establish and maintain a formal governance framework
  • Ensure the firm keeps up to date with the FCA CASS sourcebook
  • Implementing best practise across the firm and ensure all calculations and regulatory returns are supported by working papers, which are clearly documented and referenced
  • Responsible for managing, controlling, preparing and escalating risk within the scope of your position
  • Perform ongoing review of Rules Mapping
  • Point of contact for CASS queries from product owners, or the wider business community
  • SME for adhoc and allocated projects, where CASS is a consideration

Summary of responsibilities
Daily tasks
  • Daily update of monthly CMAR file with data exported from Olympic (no. of lines of stock and values) including the investigation of any discrepancies.
  • Daily review of reconciliation break reports for SGBT - SGSS and GFT.
  • Daily review of Olympic / AAA host comparison report and upload of file to CASS RP directory.

Weekly tasks
  • Send e-mails to all relevant parties, to confirm whether any changes have been made to data contained in the RP. Make changes and update version controls as applicable.
  • Complete review of CASS RP to ensure all relevant data available and all links valid.

Monthly tasks
  • Arrange and chair monthly reconciliation review meeting with Operations staff
  • Supervise the monthly CMAR submission in conjunction with SMR 18 with responsibility for CASS.
  • Upload all relevant documentation supporting the monthly CMAR submission to CASS RP directory.
  • Arrange monthly Client Assets Operational Working Group meeting, including preparation, and distribution of bullet point summary of actions arising from the meeting
Quarterly tasks
  • Assist the SMR 18 with responsibility for CASS in compiling all board presentations.
Annual tasks
  • Assist Internal and External Auditors with the provision of related data and supporting documentation during all audit processes.
  • Compile and send out annual due diligence questionnaires to the Bank’s custodians.
  • Review returned questionnaires and compile custodian scoring profiles.
  • Arrange and attend annual (minimum) due diligence visits to custodians.
  • Assist the SMR 18 with responsibility for CASS in compiling the annual custodian reports

  • Regulatory skills: experience of regulatory responsibilities of an FCA supervised firm
  • Excellent communication and interpersonal skills with ability to communicate well with all levels of a diverse range of staff, including senior and/or executive management
  • Meet tight reporting deadlines
  • Proven ability to work independently as well as capable of working effectively as part of a team
  • Strong documentation, presentation, problem solving, organisational and analytical skills

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Type de contrat
Working Pattern
Secteur d'activité
Banking & Financial Services
Banking Operations


Parlez à Carl Denham, en charge de cette offre, située à London-City
4th Floor, 107 Cheapside

Téléphone: 0203 465 0109

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