CASS Oversight & Investor Services Analyst - FTC CASS Oversight & Investor Services Analyst - FTC …

in London, United Kingdom
Permanent, Full time
Last application, 22 Oct 20
in London, United Kingdom
Permanent, Full time
Last application, 22 Oct 20
CASS Oversight & Investor Services Analyst - FTC
Job Description

Where you'll fit in & what our team goals are....

In this role you will be acting as TA Oversight which incorporates specific responsibilities regarding the oversight of client money activities and the administration of the following:
• Client Money Working Group;
• Client Assets Oversight Advisory Group
• Annual CASS audit


How you'll spend your time....
The role has a core responsibility to lead the oversight of outsourced processing of client money related activities. To ensure that these processed are completed in a timely, accurate and compliant manner. The work will be conducted in cooperation with the CASS coordinator at the outsourced supplier, including investigative items such as:
  • Direct Debit, CASS 8 mandate checks,
  • Control enhancement and documentation updates,
  • Management of unclaimed client money balances,
  • Breach and error review,
  • Escalation management.
  • Evidence and document that oversight activities have taken place at the outsourced supplier under the framework of TISL's internal CASS governance program.
  • Provide timely updates to certified stakeholders within the TISL business, including but not limited to the production of the CASS Dashboard, breach system updates, internal audit CASS review status progress, annual SOX testing, CASS 9 Statement production, elements for board reporting.
  • Provide support to the wider oversight of administrative activities completed at the outsourced suppliers.

Required Qualifications

To be successful in this role you will have....
  • Key prior experience in a client money related role - ideally within the Asset Management, or associated supplier industry.
  • Reporting to certified persons and with sufficient knowledge of the FCA's Client Assets rule book, to ensure high quality oversight of core outsourced functions, alongside the management, assessment and evidencing of key internal controls.
  • Some prior knowledge and understanding of the FCA's breach reporting requirements - especially with regards to immediately notifiable breaches.

Preferred Qualifications

If you also had this, it would be great....
  • Management of high profile regulatory audit and all associated requests.
  • An understanding of client money flow and how it is applicable to the Asset Management industry.
  • Some prior experience in managing external / outsourced service providers.
  • Willing to learn and undertake additional oversight processes.
  • Has an good understanding of what high quality customer servicing looks like and is able to put customer outcomes at the centre of their work.
  • Delivery focused with attention to detail, being able to deliver excellence in a deadline driven environment.
  • Flexible with the ability to work on a range of items simultaneously and proactively manage and prioritise a significant and often changing workload.
  • An excellent communicator who can effectively express ideas and requirements both orally and in writing, both formally and informally.
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