Cass Associate

Description:

As a valued member of our CASS oversight team, you’ll have a varied and sometimes challenging role, with lots of support, providing oversight across the Group and to our outsourced providers, whilst taking pride in the accuracy of your work, knowing it makes a real difference.

This role offers you the autonomy to excel without feeling micromanaged. At Schroders Personal Wealth, we foster a culture of trust and reward, empowering you to make impactful contributions. Your work will be invaluable in enhancing the oversight of our business in a key client and regulatory area.

As our CASS Associate, you’ll work closely with our CASS Analyst, undertaking a variety of daily, monthly and ad-hoc oversight processes using a number of data sources and systems, and also engaging directly with other colleagues and our outsourced providers. You will also support twice yearly due diligence reviews to mitigate CASS risk, ensuring we meet all regulatory requirements, and this may involve some travel to London.

With us, you will have the opportunity to participate in continuous improvement ideas to proactively manage risk and drive efficiency. We pride ourselves on a flat structure meaning that interactions with our senior leadership are very likely, and with support we encourage you to present and report to various forums and committees.

Your day to day activities will include:
 

• Completing a number of daily/monthly CASS processes, including reconciliation reviews, to ensure our compliance with the CASS rulebook , demonstrating effective administration and carrying out regular designated procedures accurately and promptly.
• Gain an understanding of the operating model of both our regulated firms (SPW ACD and SPW) and the implications on our CASS compliance regime
• Obtaining and reviewing evidence to allow the accurate and timely production of reports to various committees and the two regulated firm Boards.
• Responding to incoming enquiries and requests from inside and outside of the Group.
• Supporting CASS impacting projects and changes as and when required by SPW.
  
   

The Key Requirements...
 

• Ability to use Microsoft Office to a good level.
• A willingness to learn a sometimes complex area of regulation, and translate this into the impact on the regulated firms.
• A keen eye for detail and accuracy.
• Experience working in the financial services industry, and exposure to CASS would be an advantage.