CASS SME Oversight – Transfer Agency
Transfer Agency CASS SME (Subject Matter Expert oversight, in either our Chelmsford or Wimborne office.)
Outline of main duties and responsibilities
- To be a CASS (SME), to be the go‑to person both internally and externally
- Oversee end‑to‑end workflows to ensure compliance with the client money rules across the business
- Own and ensure the CASS framework is kept up‑to‑date on an ongoing basis
- Mapping and maintaining the CASS Matrix against the CASS rules
- Lead and oversee CASS workshops, client visits and due diligences
- Oversee that aged debtors are chased where applicable
- Ensure that all CASS requirements are met/supplied in a timely fashion
- Ensure all daily internal and external client money reconciliations are completed accurately and timely, meeting all relevant CASS rule requirements
- Ensure shortfall/surplus movements on settlements are covered/removed in a timely manner
- Own and assist the CMAR returns ensuring 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
- Oversee all relevant CASS procedures are regularly updated where applicable
- Oversee all relevant client money reconciliation breaks/discrepancies are investigated and resolved accurately and timely within 24hrs
- Ensure any regulatory CASS breaches are raised within the required timeframe ensuring that any resultant mitigation is suitably applied
- Support the sign‑off of daily CASS reconciliation packs
- Ensure/maintain relationship with relevant parties with Transfer Agency sub‑delegate
- Ensure agreed SLA and contractual deliverables are achieved whilst monitoring KPIs to ensure timely and appropriate resolution of any trends/performance issues
- Support new business, client, and regulatory operational issues
- Understand industry changes and impact that will have on our TA business
- Identify and propose enhancements where processes can be streamlined to maximise efficiency
- Maintain issue logs, monitor trend analysis and attendance of internal and external review meetings
- Coordinate issue management when issues impact the delivery of TA services
- Assist with other ad‑hoc duties/projects as required to ensure CASS is considered throughout the scope to delivery
Skills and experience required
Skills
- Be able to work as a part of a team and show commitment in ensuring all deadlines are met
- Have suitable qualifications relevant to the duties and responsibilities listed above
- Excellent communication skills, both written and verbal
- Be highly organised, efficient, and professional with a sense of urgency and good time management
- Have the ability to work well both under supervision as a member of a team, as well as independently
- Be detail and quality conscious – accountable, responsible, and adaptable
- Very good awareness of FCA
- IOC competency preferred or a willingness to work towards qualification
Education and Experience
- Have suitable qualifications relevant to the duties and responsibilities held
- 5 years min 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. In addition, the successful candidate will receive a competitive benefits package
