CASS Oversight Manager

Posted 07 November 2023
Salary £60000 - £65000 per annum
Job type Permanent
Discipline Finance, Accounting & AuditRisk
Contact NameJosh Duggan

Job description

Broadgate have partnered with one of the largest independent Investment Management firm's in the UK (£30m turnover) in West Yorkshire.

The role is for a CASS Oversight Manager and paying £60,000 - £65,000 + bonus

About the Role:

  • Lead a small team, whilst acting as the go-to for all CASS matters.
  • Identify, review, remediate and mitigate risk events related to CASS.
  • Review and challenge the development of existing CASS procedures and controls.
  • Identify and present areas of improvement to key stakeholders.

About You:

  • Experience in a CASS oversight role, ideally within a Wealth/Investment Management environment, or wider Financial Services.
  • CASS rulebook experience (6,7,8,9,10)
  • Member of a CASS Committee or similar compliance forum.
  • Strong FCA regulatory knowledge.

If you would like to apply or have any questions, please reach out to Josh Duggan at Broadgate.