cass specialist (transfer agency) in london

05 February 2019
randstad financial & professional, randstad financial services
job type
£ 60,000 - £ 80,000 per year
apply now

financial services
sub specialism
job type
working hours
£ 60,000 - £ 80,000 per year
reference number
randstad financial & professional, randstad financial services
apply now

job description

Do you wish to take the next steps towards your CASS Development at a Third Party Administrator? Are you a driven and enthusiastic individual with the ambition to succeed at the highest level?

We have an exciting opportunity to join a performance driven organisation that prides itself with integrity and originality. Located in the heart of London, if you love working in an enthusiastic, energetic and innovative thinking environment, you'll feel right at home. With the office conveniently located minutes away from the station, you're in a perfect location for getting in and out of work.

The Transfer Agency ("TA") department provides a third party fund administration service to numerous fund management companies covering the full range of shareholder servicing functions including dealing, registration, settlements, distributions, commissions and statements.

There is a need for an experienced CASS specialist, to assist the TA with oversight of CASS activities to facilitate TA client's compliance with the applicable regulations. This is a demanding role that focusses on the TA business and will suit a self-starter who has the ability to manage multiple priorities, for example client and internal stakeholder management, oversight of TA operational functions, management of CASS impacting issues / changes, and continuing evolution of the Transfer Agency governance and operations framework.

This role will report to the Head of CASS and will also maintain close links with oversight and support functions, including internal and external auditors, compliance and control functions.


* Provide advice and guidance on CASS emerging issues and incident management to key TA operational colleagues.
* Monitor and assess impact of changes in CASS requirements to the TA business and TA's CASS infrastructure, and support the implementation of appropriate infrastructure to facilitate clients' compliance with regulatory obligations.
* Provide CASS technical advice and guidance on the application of the CASS rules to multiple internal stakeholders (including but not limited to Business Unit partners and internal governance forums).
* Monitor industry intelligence, including attendance at relevant industry working groups where required.
* Draft CASS technical papers and policies, forming technical opinions.
* Running quarterly client CASS conferences.
* Production of CASS management information reporting and oversight documentation for monthly governance oversight meetings.
* Support of CASS governance meeting structure including chairing the CASS Working Group; CASS Executive Steering Group; CASS Champions Engagement Sessions and other relevant governance groups. Support of operational business units in assessment and where necessary implementation of processes and controls to enable adherence with CASS regulatory requirements.
* Support of client facing business units in addressing CASS regulatory enquiries and requests for information from clients, and maintaining relationships with clients' CASS offices
* Maintain ongoing training and development of UK Transfer Agency partners in relation to CASS, with the aim of further embedding CASS awareness and further mitigate potential CASS risk, including delivery of formal CASS training requirements to Champions and partners either on a 1 to1 and /or team basis as required.
* Ongoing maintenance and update of the TA internal CASS documentation, including the CASS Accountability Matrix, CASS process flows and CASS Risk and control register.
* Review, challenge and approval of all CASS incidents or errors prior to client reporting.


* Experience of operating in a compliance, Audit and / or operational oversight role in providing oversight of compliance with the FCA CASS regulations, specifically CASS 7
* Knowledge of the Financial Conduct Authority's CASS regulations and their applicability to the Asset Management industry.
* Experience working for or with a Third Party Administrator.
* An in depth understanding of Client Money and Custody Asset flows within a Transfer Agency or other Asset Management operation.
* Ability to interact effectively and influence senior management and staff at all levels.
* Experience of implementing CASS policy.
* Knowledge of other key FCA regulations - COBS and COLL - an advantage.
* Experience in production of management information reporting and/or reconciliations will also prove advantageous.
* Willingness and ability to challenge current report production methodology and offer practical suggestions for production enhancements.
* Advanced Microsoft Excel skills and ability to work with macros.
* Self-starter with ability to work under minimal supervision.
* Excellent communication skills with the ability to develop effective working relationships.

If you're passionate about delivering high-quality CASS Compliance, no matter the obstacles then this is for you, don't hesitate, and apply today.

This role is open to receiving applications over the next two weeks. Within a week of the closing date, appropriate applicants will begin an interview process, after which shortlisted candidates will be invited to attend the final stage of the process.

If you have any queries or want to get in touch please call Alex on 02077866523.

Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003


cass,change management,client assets,client money,compliance,derivatives settlements,equity research assistant,erp experience (sap, oracle, jde),excel,finance project management,financial analysis,fund administrator,fund manager,fund manager assistant,investment research,portfolio analyst,private wealth management,transfer agency,treasury operations