CASS SME Oversight

Summary of the position

The CASS SME Oversight Transfer Agency will be expected to:

• Be a CASS SME, the go‑to person both internally and externally
• Oversee end‑to‑end workflows to ensure compliance with the client money rules across the business
• Own and ensure the CASS framework is kept up to date on an ongoing basis
• Mapping and maintaining the CASS Matrix against the CASS rules
• Lead and oversee CASS workshops, client visits and due diligences
• Oversee that aged debtors are chased where applicable
• Ensure all CASS requirements are met/supplied in a timely fashion
• Ensure daily internal and external client money reconciliations are completed accurately and timely, meeting all relevant CASS rule requirements
• Ensure shortfall/surplus movements on settlements are covered/removed in a timely manner
• Own and assist the CMAR returns ensuring completion for onward submission in a timely and accurate manner
• Oversee the end of day funding process ensuring all shortfalls are covered and deposited to enable daily creation payments made to depositary within required timelines
• Oversee that all relevant CASS procedures are regularly updated where applicable
• Oversee all relevant client money reconciliation breaks/discrepancies are investigated and resolved accurately and timely within 24hrs
• Ensure any regulatory CASS breaches are raised within the required timeframe ensuring that any resultant mitigation is suitably applied
• Support the sign‑off daily CASS reconciliation packs
• Ensure/maintain relationships with relevant parties with Transfer Agency sub‑delegate
• Ensure agreed SLA and contractual deliverables are achieved whilst monitoring KPIs to ensure timely and appropriate resolution of any trends/performance issues
• Support new business, client and regulatory operational issues
• Understand industry changes and impact that will have on our TA business
• Identify and propose enhancements where processes can be streamlined to maximise efficiency
• Maintain issue logs, monitor trend analysis and attendance of internal and external review meetings
• Coordinate issue management when issues impact the delivery of TA services
• Assist with other ad hoc duties/projects as required to ensure CASS considered throughout the scope to delivery

• Be able to work as part of a team and show commitment in ensuring all deadlines are met
• Have suitable qualifications relevant to the duties and responsibilities listed above
• Excellent communication skills, both written and verbal
• Highly organised, efficient, and professional with a sense of urgency and good time management
• Ability to work well both under supervision and independently
• Detail and quality conscious – accountable, responsible, and adaptable
• Very good awareness of FCA
• IOC competency preferred or willingness to work towards qualification

• Have suitable qualifications relevant to the duties and responsibilities held
• Minimum of 5 years CASS experience highly desirable

The CASS SME Oversight – Transfer Agency will report to the Head of Transfer Agency

Remuneration will be market related and commensurate with experience and seniority. The successful candidate will receive a competitive benefits package