CASS Manager

AJ Bell

  • Manchester
  • Permanent
  • Full-time
  • 16 days ago
Job DescriptionWe're now recruiting a CASS Manager to be responsible for ensuring the CASS team operates effectively and that robust systems and controls are maintained. This includes ongoing risk management and the continuous assessment of operational readiness to meet longer term strategic plans.Reporting to the Senior CASS Manager, the CASS Manager will be responsible for monitoring compliance with the FCA CASS regulations.What the role involves:
  • Ensure CASS risks are identified, assessed, and accurately recorded on the CASS Risk & Control Assessment (RCA).
  • Deliver an annual control testing programme, providing timely feedback to control owners and updating the RCA.
  • Provide a CASS opinion based on an in-depth technical understanding of the rules and how they apply to AJ Bell.
  • Actively play a key part in change initiatives, including automation of manual processes, by assessing the CASS impact, along with representing Operational Oversight in relevant discussions.
  • Develop and deliver an annual CASS monitoring review programme.
  • Lead and develop the team, fostering a culture of accountability, collaboration, and continuous improvement.
  • Ensure that business policies, procedures, systems and controls are compliant with CASS rules.
  • Undertake root cause analysis of CASS issues, identifying trends and potential improvements and escalating where appropriate.
  • Ensure any breaches are documented accurately and corrective measures are captured and implemented.
  • Maintain and continually develop CASS MI for use by senior management and at key CASS meetings, for example CASS Forum.
  • Continually develop and strengthen CASS controls, ensuring processes and procedures are kept up to date and are accurate at all times.
  • Maintain CASS RP documentation.
  • Support the Senior CASS Manager in chairing the CASS Operational Oversight meeting.
  • Act as the point of contact for CASS audits, agree the scope, timeline and facilitate walkthroughs.
  • Act as the point of contact for internal & external audits, including co-ordination of visits.
  • Ensuring own and team duties are carried out in full compliance with regulatory requirements, including Consumer Duty.
  • Following structured processes to deliver accurate outcomes to meet regulatory requirements, including Consumer Duty and deliver the best possible customer experience across area of responsibility.
  • Promote and identify good practices across your department when dealing with vulnerable customers and document any reasonable steps taken to ensure their fair treatment.
What skills and experience you'll bring:
  • Completion of the Investments Operations Certificate (IOC) qualification.
  • Other relevant professional qualification and/or significant financial services industry expertise.
  • Expert knowledge of CASS and the latest regulatory developments (particularly chapters 6, 7, 8 & 10 of the CASS handbook).
  • Good understanding of the stockbroking business.
  • Excellent problem solving and decision-making skills with the ability to compile and evaluate data for decision making.
  • Ability to influence and build / maintain positive relationships at all levels.
  • Strong verbal and written communication skills.
  • High levels of organisation and attention to detail.
About us:AJ Bell is one of the fastest-growing investment platform businesses in the UK offering an award-winning range of solutions that caters for everyone, from professional financial advisers to DIY investors with little to no experience. We have over 620,000 customers using our award-winning platform propositions to manage assets totalling more than £96.1 billion. Our customers trust us with their investments, and by continuously striving to make investing easier, we aim to help even more people take control of their financial futures.Having listed on the Main Market of the London Stock Exchange in December 2018, AJ Bell is now a FTSE 250 company.Headquartered in Manchester with offices in central London and Bristol, we now have over 1,500 employees and have been named one of the UK's 'Best 100 Companies to Work For' for six consecutive years and in 2024 named a Great Place to Work®.At AJ Bell you can expect a friendly working environment with a strong sense of teamwork, we have a great sense of pride in what we do, and this is reflected in our guiding principles.What we offer:
  • Generous holiday allowance of 27 days, increasing up to 31 days with length of service
  • Holiday buy and sell scheme
  • A choice of pension schemes with matched contributions up to 8%
  • Discretionary bonus scheme
  • Annual free share awards scheme
  • Buy As You Earn (BAYE) Scheme
  • Health Cash Plan - provided by SimplyHealth
  • Discounted private healthcare scheme and dental plan
  • Free onsite gym
  • Employee Assistance Programme
  • Bike loan scheme
  • Sick pay+ pledge
  • Enhanced maternity, paternity, and shared parental leave
  • Loans for travel season tickets
  • Death in service scheme
  • Paid time off for volunteer work
  • Charitable giving opportunities through salary sacrifice
  • Calendar of social events, including monthly payday drinks, annual Christmas party, summer party and much more
  • Ongoing technical training
  • Professional qualification support
  • Talent development programmes
  • Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off
  • Monthly leadership breakfasts and lunches
  • Casual dress code
  • Access to a range of benefits from our sponsorship deals
Hybrid working:At AJ Bell, our people are the heart of our culture. We believe in building strong connections by working together. That's why we offer a hybrid working model, where you'll spend a minimum of 50% of your working time per month in the office. For new team members, an initial period will be full-time in the office to help you immerse yourself in our business and build valuable relationships with your colleagues.AJ Bell is committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and all employees are empowered to bring their whole self to work.We do not discriminate on the basis of race, sex, gender identity, sexual orientation, age, pregnancy, religion, physical and mental disability, marital status and any other characteristics protected by the Equality Act 2010. All decisions to hire are based on qualifications, merit and business need.If you like the sound of the above or just want to know more about the company and the role, we'd love to speak to you.

AJ Bell