CASS & Oversight Executive

Rev & Regs are recruiting for a CASS & Oversight Executive for a large multinational funds company.

You will carry out day to day CASS Oversight on the businesses Third-Party Administrator and support the Head of CASS & Operational Resilience Oversight in ensuring the company are compliant with the CASS regulations. In addition, you will assist with the maintenance of the businesses Operational Resilience Strategy within the Operational Resilience framework.

Responsibilities:

• To carry out daily checks of the Client Money and Dealing reconciliations.
• Carry out a suite of Oversight checks on a daily, weekly, and monthly basis.
• Raise and log all CASS breaches and issues that require investigation and track through to completion.
• Review the CASS procedures ensuring they are fit for purpose and accurate.
• Assist with producing papers and minutes for CASS Committee meetings.
• Assist with maintenance of the CASS rule mapping and risk assessment.
• Liaise with Internal Audit, Compliance and External Auditors when CASS reviews are undertaken.
• Maintaining Operational Resilience regulatory requirements.
• Work closely with other departments managing business continuity planning and testing, incident management and cyber security.
• Maintain Operational Resilience scenario testing log and assist Business lines in remediating any identified issues.

Experience:

• Good understanding of the Fund Industry.
• Knowledge of Reconciliations and CASS 7, 8, 9 & 10
• PC Literate, especially Intermediate Word and Excel skills, including VLookup and Pivot Tables.
• Capable of learning and understanding systems for daily use.
• Ensure any issues identified are flagged to management.
• Key relationships are built and maintained.
• Look for ways to enhance oversight, implementing and continuously developing the robust monitoring schedule.
• Look to build out and enhance Operational Resilience framework.

Location: Hybrid (2 days per week in City of London office)

Salary: £40,000 - £45,000