Responsibilities Support the team on BAU tasks Work with projects and compliance team to implement CASS changes where necessary Assist with regulatory operations changes in relation to CASS Understand and challenge the business processes and controls and be able to document them back to the CASS rule book CASS Oversight including reviewing processes and controls, undertaking QA, sample test and/or collate data in a timely fashion to ensure compliance with relevant FCA rulebooks (CASS, COBS, SYSC, etc.).
Perform due diligence of client money banks and brokers including onsite visits where necessary.
Provide Management Information to CASS stakeholders (eg.
CF10a, CASS Control and Compliance functions).
Work with Operational Risk team to identify all Operational Risk considerations in relation to CASS and related functions/processes.
Attendance at industry conferences/events, networking & roundtables in relation to CASS.
Experience Strong knowledge & understanding of CASS rules and application/treatment in relation to CASS 1, 3, 7, 9 & 10 rule sets.
A working & detailed knowledge/understanding of CASS rules and application and impact of Banking Exemption.
Understanding of Settlement & Corporate Action events in relation to MiFID II eligible products and impact on treatment as Client Money events.
Previous track record in process improvement with a view to developing/enhancing controls.
Strong presentation skills to senior management Ability to push back and influence Operations & Business teams globally twentyAI LondonEngland
