CASS SME Oversight in Chelmsford

The Apex Group was established in Bermuda in 2003 and is now one of the world’s largest fund administration and middle office solutions providers. Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard‑working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over 13,000 employees across 112 offices worldwide.

Summary of the position:

• Transfer Agency CASS SME (Subject Matter Expert oversight) based in either our Chelmsford or Wimborne office.

Outline of main duties and responsibilities:

• Be the CASS SME, the go‑to person both internally and externally.
• Oversee end‑to‑end workflows to ensure compliance with client money rules across the business.
• Own and keep the CASS framework up to date on an ongoing basis.
• Map and maintain the CASS Matrix against the CASS rules.
• Lead and oversee CASS workshops, client visits and due diligence.
• Ensure that aged debtors are chased where applicable.
• Ensure all CASS requirements are met and supplied in a timely fashion.
• Complete all daily internal and external client money reconciliations accurately and on time, meeting all relevant CASS rule requirements.
• Cover/remove shortfall or surplus movements on settlements in a timely manner.
• Own and assist with CMAR returns, ensuring their completion for onward submission in a timely and accurate manner.
• Oversee the end‑of‑day funding process, ensuring all shortfalls are covered and deposited to enable daily creation payments made to depositary within required timelines.
• Ensure all relevant CASS procedures are regularly updated where applicable.
• Investigate and resolve all client money reconciliation breaks/discrepancies in an accurate and timely manner within 24 hours.
• Raise any regulatory CASS breaches within the required timeframe, ensuring appropriate mitigation is applied.
• Support the sign‑off of daily CASS reconciliation packs.
• Maintain relationships with relevant parties with Transfer Agency sub‑delegates.
• Achieve agreed SLA and contractual deliverables, monitoring KPIs to ensure timely and appropriate resolution of any trends or performance issues.
• Support new business, client and regulatory operational issues.
• Understand industry changes and their impact on our TA business.
• Identify and propose enhancements to streamline processes and maximize efficiency.
• Maintain issue logs, monitor trend analysis and attend internal and external review meetings.
• Coordinate issue management when issues impact the delivery of TA services.
• Assist with other ad‑hoc duties and projects as required, ensuring CASS is considered throughout the scope of delivery.

Skills and Experience Required:

• Work as part of a team and demonstrate commitment to meeting all deadlines.
• Have suitable qualifications relevant to the duties and responsibilities listed above.
• Excellent written and verbal communication skills.
• Be highly organised, efficient and professional with a sense of urgency and good time management.
• Be able to work well both under supervision and independently.
• Be detail‑oriented and quality conscious – accountable, responsible and adaptable.
• Have very good awareness of FCA regulations.
• IOC competency preferred, or a willingness to work towards qualification.

Education and Experience:

• Have suitable qualifications relevant to the duties and responsibilities held.
• Minimum five years of CASS experience highly desirable.

Reporting Structure:

• The CASS SME Oversight – Transfer Agency will report to the Head of Transfer Agency.

Remuneration Level:

• Remuneration will be market‑related and commensurate with experience and seniority. The successful candidate will also receive a competitive benefits package.