Support Analyst - Witham (Essex)
This is an opportunity to support the CASS Oversight Manager as an Operations Support Analyst. The successful candidate will provide timely and comprehensive analysis and reporting upon processes and controls as well as ensuring that these are compliant with the Client Assets Source Book (CASS) and that these operate accurately and effectively.
- Financial services experience essential
- Previous experience of working in a Platform or Mutual Funds environment is desirable
- Previous experience of project management disciplines and experience of managing change.
- Knowledge and understanding of client money rules and practices
- Excellent report writing skills.
- Ability to analyse operational processes and identify weaknesses and required remediation actions.
- Ability to work under time pressure and provide high quality reports to senior management.
- Willing to be flexible in working pattern to ensure that deadlines are achieved.
- Strong communicator capable of delivering clear and concise written or verbal reports.
- Adapt personal style and approach to suit the needs of the audience.
- Cooperate with business areas to ensure outcomes are constructive and positive.
- Strong interpersonal skills.
The successful candidate will be responsible for the following tasks:
- Conduct reviews of incidents and breaches by investigating processes and controls that are designed to achieve compliance with the FCA's CASS rules. Ensure corrective actions identified as a result of incidents, breaches, near misses and external audits are fully completed and effectively embedding into the relevant operational team's processes.
- Prepare documentation for relevant governance Committees including collating all relevant, timely and comprehensive MI, so the Committee has all the relevant information required to review the organisation's performance on meeting its CASS obligations.
- Support the planning and collation of information for the CASS Audit and other internal audit/compliance reviews.
- Perform regular thematic reviews and dip-testing across CASS impacted products including those which are outsourced and provide constructive feedback and actions.
- Assist with the delivery of the training programme for CASS and monitor the status of completion of the training across business.
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