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- Tasks: Ensure compliance with FCA CASS regulations and safeguard client money and assets.
- Company: Join a high-growth adviser platform in an exciting phase of expansion.
- Benefits: Hybrid work model, 28 days annual leave, and opportunities for professional growth.
- Why this job: Make a real impact on compliance and control improvements in a dynamic environment.
- Qualifications: 2-3 years in a CASS-focused role and strong analytical skills.
- Other info: Collaborate with diverse teams and promote CASS awareness across the business.
The predicted salary is between 36000 - 60000 £ per year.
Fundment is a high-growth adviser platform entering an exciting new phase of scale, we are seeking a CASS Associate to join our growing CASS team. You will play a key role in ensuring ongoing compliance with FCA CASS regulations and safeguarding client money and assets as the business continues to scale.
Working collaboratively within the CASS function and across the wider organisation, you will support the ongoing enhancement of our control’s framework during an important stage of expansion. You will contribute to reconciliations, CASS audits, management information and control improvements, helping to embed robust regulatory processes across the business.
You will partner closely with Risk, Finance, Legal, Product and Engineering teams to ensure CASS compliance is built into operational processes and client journeys in a modern, agile environment. The ideal candidate will have 2-3 years’ experience in a CASS-focused role within financial services, fintech or a platform business and be comfortable operating in a lean, high-growth organisation.
Key responsibilities:- Support the ongoing maintenance of CASS policies, procedures, systems and controls to ensure compliance with FCA CASS rules.
- Perform and review daily CASS reconciliations and investigate breaks in a timely manner.
- Undertake root cause analysis of CASS issues, identifying trends and opportunities for control enhancement and escalating where appropriate.
- Ensure CASS breaches are accurately documented and that corrective actions are tracked and implemented.
- Look to identify areas for improvement within our CASS controls and systems as the business grows.
- Maintain the CASS Resolution Pack (CASS RP) and ensure documentation is complete and current.
- Support the coordination and facilitation of CASS audits, including walkthroughs and information requests.
- Work closely with Legal, Risk and Finance to ensure effective end-to-end safeguarding of client assets.
- Partner with Product and Engineering teams to ensure compliance requirements are appropriately embedded within operational workflows.
- Promote CASS awareness across the business through training support, process reviews and policy updates.
- Technical knowledge of the FCA CASS sourcebook, particularly chapters 6, 7, 8 and 10.
- Proven experience in a CASS-focused role within financial services, fintech or a platform environment.
- Experience performing and reviewing CASS reconciliations.
- Understanding of CASS breach reporting and resolution processes.
- Excellent analytical and problem-solving skills with the ability to interpret data and identify control improvements.
- Strong written and verbal communication skills.
- Ability to build and maintain effective working relationships across functions.
- Detail-oriented person who is able to deliver tasks with a high level of accuracy.
- CISI CASS Qualification or interest in completing the qualification (Desirable).
We support our team with the flexibility to work on a hybrid basis, 3 days a week in our London office (Fitzrovia). 28 days annual leave plus.
CASS Associate in London employer: Fundment
Contact Detail:
Fundment Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land CASS Associate in London
✨Network Like a Pro
Get out there and connect with people in the industry! Attend events, join online forums, or even hit up LinkedIn. The more you engage with others, the better your chances of hearing about opportunities that might not even be advertised.
✨Ace the Interview
When you land that interview, make sure to prepare thoroughly. Research the company, understand their CASS processes, and think about how your experience aligns with their needs. Show them you're not just a fit for the role, but also a great addition to their team culture.
✨Follow Up Like a Boss
After your interview, don’t just sit back and wait. Send a quick thank-you email to express your appreciation for the opportunity. It shows your enthusiasm and keeps you fresh in their minds as they make their decision.
✨Apply Through Our Website
We want to see your application! Make sure to apply through our website for the best chance at landing that CASS Associate role. It’s the quickest way for us to get your details and start the conversation!
We think you need these skills to ace CASS Associate in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the CASS Associate role. Highlight your experience in CASS-focused roles and any relevant skills that match the job description. We want to see how you can contribute to our team!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about CASS compliance and how your background makes you a great fit for Fundment. We love seeing genuine enthusiasm!
Showcase Your Analytical Skills: Since the role involves a lot of data interpretation and problem-solving, make sure to highlight any relevant experiences where you've successfully tackled analytical challenges. We appreciate detail-oriented candidates who can think critically!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team!
How to prepare for a job interview at Fundment
✨Know Your CASS Inside Out
Make sure you brush up on the FCA CASS sourcebook, especially chapters 6, 7, 8, and 10. Being able to discuss these in detail will show that you're not just familiar with the regulations but also understand how they apply in a practical setting.
✨Showcase Your Analytical Skills
Prepare examples of how you've performed CASS reconciliations or resolved breaches in your previous roles. Be ready to discuss specific instances where your analytical skills led to improvements in controls or processes.
✨Demonstrate Collaboration
Since the role involves working closely with various teams like Risk, Finance, and Engineering, think of examples where you've successfully collaborated across functions. Highlight how you’ve built relationships and communicated effectively to achieve common goals.
✨Be Ready for Scenario Questions
Expect questions that ask how you would handle specific CASS-related scenarios. Practice articulating your thought process for root cause analysis and control enhancements, as this will demonstrate your problem-solving abilities and proactive mindset.