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CASS Oversight Manager – Investment Management
£70000 - £80000 per annum
Buy Side
Role Type:
Phone Number:
0207 763 7084
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Date Posted:
CASS Oversight Manager – Investment Management

CASS - Regulatory Reporting - Asset Management - CMAR - Client Money - Client Assets -

A well-known Investment Management business requires a CASS Oversight Manager to join their team on a permanent basis. The CASS Manager will engage and provide oversight of CASS to ensure compliance with on-going and changing regulatory requirements.

The Oversight Manager will manage and resolve all CASS related issues, prepare and maintain CASS MI and CMAR Returns and assess the changing regulatory implications on the business. The CASS Manager will be responsible for ensuring that internal operational processes such as reconciliations are compliant, managing any risks and breaches and overseeing remediation exercises. You will also be responsible for coordinating internal governance processes in respect to CASS, as well as, providing oversight of service providers from a CASS perspective.  In addition, you will provide subject matter expertise on CASS and Transaction Reporting to support the business.

The person may come from an Institutional or retail Investment Manager, Wealth Manager, Outsourcing Service Provider or Investment Banking background. 

This is in the main an individual contributor role.  It is also important that you can balance "execution" capabilities with oversight.

Strong stakeholder management skills are required to liaise with business heads and internal stakeholders up to C-level.

  • Experience of Client Money (CASS) oversight in a practical operations context
  • Good understanding of the CMAR Returns, Internal / External Reconciliations and CASS Resolution Pack.
  • Knowledge of the CASS rulebook and the implications of recent FCA policy statements (e.g. 14/9)
  • Knowledge of other relevant regulatory obligations operating in the UK
  • Strong communications and stakeholder management skills
  • Educated to Degree level         
If you feel you meet these requirements do not hesitate to apply. Your application will be given immediate consideration.  

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