Oversight Manager - eFinancialCareers

Key Responsibilities

• Review and expand existing CASS policies and procedures
• Maintain the CASS framework including FCA rule mapping and controls to ensure compliance with CASS rules at all times
• Managing CASS relations with the FCA
• Document and report any CASS breaches
• Advise on CASS Risk – assist in ICARA preparation and sit on Risk Committee
• Draft and review Due Diligence on key counterparties, ensuring it is kept up to date
• Day to Day – perform CASS reconciliations of money and assets, reviewing shortfalls and reconciliation breaks, developing CASS reconciliations and controls
• Weekly report to Exco on CASS matters
• Maintenance of CASS Breach Register
• Produce MI for stakeholders
• Own and manage a CASS monitoring programme
• Maintaining an up-to-date and thorough knowledge of the CASS rules and associated industry changes
• Taking initiatives to strengthen systems and controls to improve operational efficiency and reduce the incidence of errors and breaches
• Identifying where technology can be leveraged to further automate reconciliations, CASS records, audit trails and other recurring tasks

You must have broad CASS knowledge and be happy working in a small , but ambitious firm