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CASS Oversight Manager (CF10a)

  • Location: City of London, London
  • Sector: Compliance
  • Salary: Negotiable
  • Job type: Permanent
  • Date posted: 13/02/2018
  • Job reference: 28018
This vacancy has now expired.


To take responsibility for all Client Asset related matters both internally and externally, and to support the Senior Management of the firm and the Group in ensuring compliance with all regulatory requirements in this regard.


  • a)To follow all steps and procedures in respect of all statutory, legal or regulatory rules relating to Client Assets in the capacity of FCA Client Asset Oversight Function (FCA CF10a - ultimately SMF22)

    b)To develop, implement and update CASS-related policies

    c)To be the liaison between the firm and the regulator on all matters relating Client Assets

    d)To report to the firm's governing body on CASS compliance and to liaise with relevant Head Office Departments in this regard.

    e)To liaise with relevant internal Departments within the organization and across the Group with regard to CASS related matters.

    f)To manage the annual audit and to coordinate the responses to auditor findings and the management letter g)To lead CASS audit committees and set the tone of the Firm's compliance with regard to CASS obligations

    h)To report senior management at a firm and group level to ensure that they are fully appraised of all CASS related issues and any matters that may subsequently arise

    i)To constantly review operational processes, both new and in-situ, relative to CASS to ensure that they remain appropriate and proportional, arrange for testing or reporting in order to evidence this

    j)To review upcoming changes in legislation or regulatory requirements and to lead planning and amendment of procedures in order to address the amendments

    k)To evaluate the impact assessment on CASS obligations in respect of any particular issue or potential new business opportunity

    l)To be able to present in a clear and understandable fashion all matters in relation to CASS to entity related units where CASS is non local regulation and English may not be the first language m

    )Identify needs and lead training of staff where appropriate paying special attention to senior managers and Code Staff or when appropriate, those under the SMR

    n)To take the lead in the compilation of the CASS resolution pack

    o)To take the lead in ensuring compliances

    p)To carry out such other duties as requested by Senior Management


    A university degree and a formal accounting qualification, together with at least 5 year's experience of a CF10A role.

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