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- Tasks: Manage CASS governance, oversee compliance, and enhance client money protection.
- Company: Join Aviva Investors, a leading asset manager focused on sustainability and innovation.
- Benefits: Enjoy a generous pension scheme, performance bonuses, flexible working, and discounts on products.
- Why this job: Be part of a supportive team that values inclusivity and personal development.
- Qualifications: Experience in CASS operations; IOC certification is a plus but not essential.
- Other info: Flexible working arrangements available; we welcome applications from all backgrounds.
The predicted salary is between 43200 - 72000 £ per year.
Please note this position is based in London and this will be the contractual location of the successful candidate, other locations cannot be considered.
CASS Oversight Manager
This role is ideal for someone with relevant experience in executing Client Money (CASS) day-to-day activities within a practical operations context.
About the role:
We are seeking a dedicated professional to maintain and enhance our robust CASS governance and control framework, ensuring full compliance with regulatory obligations. The successful candidate will be responsible for identifying and documenting the firm’s CASS footprint, executing a comprehensive CASS Oversight programme, and continuously improving policies and controls to safeguard client money and assets. Key responsibilities include managing day-to-day oversight activities, resolving breaches, acting as the primary contact for audits, maintaining documentation, providing technical expertise, delivering training, and ensuring regulatory reporting. The role also involves managing the CASS Resolution Pack, leading the monthly CASS Working Group, and supporting senior leadership with reports and regulatory change assessments.
Skills and experience required:
- Investment Operations Certificate (IOC) desirable but not essential
- Detailed knowledge of the Client Assets Sourcebook (CASS) and its impact on investment management firms
- Understanding of other regulatory obligations relevant to investment managers, such as COBS
- Knowledge of investment products and services
Benefits:
- Generous pension scheme with up to 14% contribution from Aviva
- Eligibility for annual performance bonus
- Family-friendly parental and carer’s leave
- Holiday entitlement plus options to buy/sell additional days
- Up to 40% discount on Aviva products
- Flexible benefits including electric cars
- Aviva Matching Share Plan and Save As You Earn scheme
- 21 volunteering hours per year
Our commitment:
We’re inclusive and welcome applications from all backgrounds and experiences. We consider flexible working arrangements, including part-time and job shares. Most of our staff work around 50% of their time in the office, balancing flexibility with teamwork.
We interview every disabled applicant who meets the minimum criteria. Please email us if you have a disclosed disability, and we will ensure an interview.
About Aviva Investors:
As the asset manager for Aviva, the UK’s leading insurance, wealth, and retirement business, we create future-ready solutions with responsibility at our core. With over 1,500 people across 14 countries, we deliver diverse expertise and a commitment to sustainability, innovation, and client service. Join us to be part of an inclusive environment where high performance is rewarded and your development is supported.
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CASS Oversight Manager employer: Aviva plc
Contact Detail:
Aviva plc Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land CASS Oversight Manager
✨Tip Number 1
Familiarise yourself with the Client Assets Sourcebook (CASS) and its implications for investment management firms. Understanding the nuances of CASS will not only help you in interviews but also demonstrate your commitment to compliance and governance.
✨Tip Number 2
Network with professionals in the investment operations field, particularly those who have experience in CASS oversight. Engaging with industry peers can provide valuable insights and may even lead to referrals or recommendations for the role.
✨Tip Number 3
Stay updated on regulatory changes affecting CASS and investment management. Being knowledgeable about recent developments will show your proactive approach and readiness to adapt to evolving compliance requirements.
✨Tip Number 4
Prepare to discuss specific examples from your past experience where you successfully managed compliance issues or improved governance frameworks. Concrete examples will help illustrate your capabilities and fit for the CASS Oversight Manager role.
We think you need these skills to ace CASS Oversight Manager
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a CASS Oversight Manager. Familiarise yourself with the Client Assets Sourcebook (CASS) and how it impacts investment management firms.
Tailor Your CV: Highlight your relevant experience in executing Client Money (CASS) activities. Make sure to include specific examples of how you've maintained governance and compliance in previous roles.
Craft a Strong Cover Letter: In your cover letter, express your passion for the role and the importance of safeguarding client money. Mention any relevant qualifications, such as the Investment Operations Certificate (IOC), and how they relate to the position.
Showcase Your Skills: Emphasise your understanding of regulatory obligations and your ability to manage oversight activities. Provide examples of how you've resolved breaches or acted as a primary contact for audits in past positions.
How to prepare for a job interview at Aviva plc
✨Understand CASS Regulations
Make sure you have a solid grasp of the Client Assets Sourcebook (CASS) and its implications for investment management firms. Be prepared to discuss how your experience aligns with these regulations and how you can contribute to maintaining compliance.
✨Showcase Your Oversight Experience
Highlight any previous roles where you managed oversight activities, resolved breaches, or acted as a primary contact for audits. Use specific examples to demonstrate your ability to enhance governance and control frameworks.
✨Prepare for Technical Questions
Expect questions that test your technical knowledge of client money and assets. Brush up on relevant investment products and services, and be ready to explain how they relate to CASS compliance.
✨Emphasise Team Collaboration
Since the role involves leading working groups and supporting senior leadership, be sure to convey your teamwork skills. Share examples of how you've successfully collaborated with others to achieve common goals in previous positions.
