CASS Oversight Manager

Looking for a CASS Oversight Specialist & experienced people leader.

Please reach out if:

- you have 10+ years working with CASS 6 & 7.

- have covered CASS Reporting, Audit, Projects, Analysis of breaks (root cause analysis), and have handled changes in relation to CASS Reporting.

- have led teams of 5+ in the past.

CASS OVERSIGHT MANAGER

PRIMARY RESPONSIBILITIES:

Regulatory

• Responsible for the collation (including upkeep of documentation) and accurate submission of the CMAR (Client Money Asset Return) on a monthly basis to the FCA.
• Conduct & chair meetings alongside the CF10a & senior management giving detailed explanation of the content of the monthly CMAR submission.
• Ensure the CASS policies & procedures are compliant with regulatory requirements and provide sufficient control and oversight to the client asset rules from a Transaction Management perspective.
• Fully understand systems and processes resulting in the ability to perform a detailed assessment of where CASS impacts may arise as a result of new products & processes being implemented.
• Support the CASS rules mapping process to ensure that the relevant rules are mapped to the appropriate business process.
• Monitor regulatory changes identifying business impacts and ensure appropriate changes are made so the business remains fit for purpose.
• Act as a CASS Champion for the Oversight team in UK Operations ensuring attendance at meetings, discussing CASS breaches and cascading feedback to the team of relevant updates/changes.
• Prepare and document monthly CASS Attestations for the Director for sign off.
• Responsible for daily investigation and collation of the Shortfall Management process including MI for CASS Team and senior management.

Governance / Performance Oversight:

• Review regional Oversight Governance Framework document annually or as required focusing on areas of responsibility.
• Review Management Information relevant to agreed team KPIs highlighting issues and challenging appropriately.
• Chair or participate in local meetings with outsourced/offshored providers, ensuring a clear agenda exists.
• Produce or ensure production of minutes of actions, decisions and agreed escalations.
• Undertake sample testing / spot checks including retention of evidences for the same to quality assure performance being delivered by Processing Location.
• Perform annual due diligence surveys and visits to both Outsourced and Offshored providers (if necessary).
• Clearly documented Escalation Decision Trees and Criteria.
• Prepare documentation for local Oversight (internal committee meetings) ensuring minutes are recorded and distributed within 2 days of the meeting.
• Prepare documentation for quarterly regional Senior Management Oversight meeting ensuring minutes are recorded and distributed within agreed deadlines.
• Ensure issues identified in BAU or as part of an internal/external audit in relation to Oversight are tracked through to conclusion ensuring deadlines are met.
• Partner with colleagues across Operations Control, Compliance, CASS reconciliations and other functions to ensure regulatory requirements meet the current and future regulations.
• Manage the development of best practices by promoting this culture within all Oversight meetings with Service Providers.
• Liaison in relation to Oversight matters with internal / external auditors and regulators if appropriate.
• Successful resolution of all points raised in internal/external audits in relation to Oversight activities.
• Attend relevant business forums and committees to note and challenge any items that may impact the Oversight function.
• Maintain oversight of all outsourced/offshored related operational activities and manage all related issues to successful resolutions.
• Build and maintain an understanding of systems and processes resulting in the ability to perform a detailed assessment of where Operational Oversight issues may arise as a result of new products and processes being implemented.
• Set up and manage key relationships with relevant departments and employees to ensure required understanding of the Oversight model and management information is delivered on time.
• To develop enhanced key performance measures to enable senior management to make decisions.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates