CASS and Regulatory Analyst

At Aberdeen, our ambition is to be the UK’s leading Wealth & Investments group.

Strengthening talent and culture is one of our strategic priorities. We strive to make Aberdeen a great place to work so that we can attract and retain the industry’s best talent.

Our people put our stakeholders at the heart of everything they do by helping us to make a positive difference to the lives of our clients, customers, colleagues, shareholders, and society.

We are focused on growing our direct and advised wealth platforms and repositioning our specialist asset management business to meet client demand. We are committed to providing excellent client service, supported by leading technology and talent.

Aberdeen comprises three businesses, interactive investor (ii), Investments, and Adviser, each of which focuses on meeting and adapting to our clients’ evolving needs:

• interactive investor, the UK’s second largest direct-to-consumer investment platform, enables individuals in the UK to plan, save, and invest in the way that works for them.
• Our Adviser business provides financial planning solutions and technology for UK financial advisers, enabling them to create value for their customers.
• Our Investments business is a specialist asset manager that focuses on areas where we have both strength and scale to capitalise on the key themes shaping the market, through either public markets or alternative asset classes.

Client and Regulatory Operations is committed to delivering a truly global, scalable and efficient operating platform at the heart of establishing and maintaining equilibrium in the firm, powering Aberdeen Investments management process and global distribution. We will also play a core role in facilitating the product development process, fostering innovation and working with a range of trusted global third-party providers to ensure world class service provision.

Reporting to the CASS Team Lead, this role will be responsible for predominately supporting the CASS activities and oversight carried out within Client Operations and ensure there are appropriate and robust CASS related systems and controls in place. The role holder will also be expected to work with those managing other client regulations, such as Anti-Financial Crime and FATCA / CRS, to allow some support to be given across the team.

• Perform daily, weekly and monthly oversight of key CASS activities, providing effective challenge to internal teams and third-party administrators (TPAs).
• Review, investigate and accurately log CASS breaches, identifying weaknesses in systems and controls and driving remediation.
• Conduct detailed oversight and assurance reviews of CASS processes and key controls, reporting findings to CASS governance forums.
• Prepare, validate and submit regulatory returns, ensuring compliance with relevant legislation, regulatory requirements and internal policies.
• Produce, analyse and interrogate management information (MI) to support oversight, governance and risk management activities.
• Support internal and external assurance activity, including CASS audits and departmental compliance reviews.
• Perform oversight responsibilities relating to FATCA/CRS, AML and Consumer Duty in collaboration with key stakeholders.
• Maintain clear, accurate and evidenced process documentation, policies and controls in line with the Enterprise Risk Management Framework.
• Deliver work accurately on a "right first time" basis, meeting personal and team objectives while contributing to continuous improvement initiatives.
• Build effective relationships with TPAs and stakeholders, using ongoing communication to improve service quality, control effectiveness and operational performance.

The ideal candidate will possess the following:

• Experience in an operations team within a financial services/regulatory/audit environment (essential)
• Some experience or practical knowledge of investment operations, fund administration or control, risk and governance processes (essential)
• Experience or practical knowledge of CASS and/or FATCA activities and processes (desirable)

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