CASS Analyst

Job Description

An opportunity has arisen within our CASS team, and we are looking to recruit a CASS Analyst. We're seeking an analytical individual who enjoys working in a varied environment where no two days are the same. If you're looking for an opportunity to use your initiative, develop your analytical skills, and manage your own workload, this could be the perfect role for you.

Reporting to the CASS Manager, the CASS Analyst will be responsible for assisting operational teams in complying with the FCA CASS rules. You will be a part of a growing team working within Operational Oversight and interacting with the wider business.

• Undertake an annual risk-based CASS monitoring plan
• Identify and manage CASS related risks
• Maintain the CASS Risk and Control Assessment to enable the firm to develop and strengthen CASS controls
• Under testing to assess effectiveness of key CASS controls
• Identify, document and elevate CASS breaches, collaborate with the wider business to implement preventative controls
• Undertake root cause and trend analysis to enable the production of Management Information
• Provide support and assist in the delivery of training to operational teams
• Support change initiatives, assessing the impact on CASS processes
• Represent the CASS team in relevant discussions and meetings
• Maintain CASS Resolution Pack documentation and other CASS policies
• Facilitate internal & external CASS audits, supporting walkthroughs and sampling
• Ensuring all duties are carried out in full compliance with regulatory requirements, including consumer duty.
• Following structured processes to deliver accurate outcomes to meet regulatory requirements, including consumer duty and deliver the best possible customer experience.
• Approach vulnerable customers using best practice and document any reasonable steps taken for their fair treatment.

• High levels of organisation and attention to detail
• Be self-motivated with the ability to effectively prioritise, manage own time and work to deadlines
• Be able to influence, build and maintain positive relationships
• The ability to challenge others in an appropriate way
• The ability to make the complex simple for others

• FCA CASS experience and knowledge, particularly chapters 6, 7, 8 & 10 of the CASS handbook
• Completion (or part completion) of CISI CASS Level 3 qualification is desirable
• Experience in performing process reviews and report writing
• Experience working with Microsoft Office, including Excel, Word and Power Point
• Excellent problem solving and decision-making skills with the ability to compile and evaluate data for decision making
• Strong verbal and written communication skills
• Good understanding of financial services is desirable
• A bachelor’s degree in a relevant field of study (or equivalent workplace experience) is desirable

At AJ Bell, we believe investing should feel good. Whether you're looking for an ISA, pension or dealing account, whether you want to invest with the help of a financial adviser or do it yourself, we have easy-to-use solutions to suit people from all walks of life.

We're one of the UK's fastest-growing investment platform businesses, trusted by everyone from professional financial advisers to first-time investors.

Today, over 762,000 customers trust us to manage more than £121.5 billion of assets. By continually striving to make investing simpler and more accessible, we're helping more people take control of their financial futures.

We're proud to be recognised as one of the UK's Best 100 Companies to Work For for six consecutive years, and a Great Place to Work® in 2025 and 2026, a reflection of our supportive and collaborative culture.