Overview
In this role you will support CASS oversight and compliance, contributing to the annual external CASS audit and strengthening the client asset control environment. You will work closely with the CASS Oversight Consultant to identify risks, implement corrective actions, and support PMS product administration within Asset Management. You’ll produce timely MI, handle regulatory reporting, and help maintain robust governance across legal entities. This is a hands-on, risk-focused position that sits at the intersection of compliance, governance, and control.”
Pay / Benefits
- annual performance-related bonus
- share schemes
- generous pension contribution
- Life assurance
- Healthcare Plan
- 25 days holiday (+ holidays)
Responsibilities
- Provide timely and accurate CASS reporting and MI to support oversight and risk escalation
- Collate monthly CMAR, annual stratification survey, and FCA/FOS/FSCS information requests with accuracy and timeliness
- Support information provision for CASS matters across legal entities for Head of Operational Governance oversight
- Respond quickly to material breaches, issues or trends
- Assist administration of the CASS Oversight Review Committee (CASSROC) with MI and papers
- Contribute to the CASS Assurance Plan via testing, analysis and reporting of control effectiveness
- Support external audit activities including the annual CASS audit and remediation of breaches
- Build and maintain relationships with business areas to aid risk identification and control improvements
- Monitor and assess CASS-related systems and controls, including outsourced arrangements and breaches
Key requirements
- Ability to analyse MI and produce insightful reports and recommendations
- Strong organisation and prioritisation skills with managing competing deadlines
- Proven ability to build and maintain stakeholder relationships and manage expectations
- Excellent written and verbal communication across levels
- Understanding of risk management, governance and control frameworks in a regulated financial services environment
- Experience in an MI, risk, oversight or regulatory compliance role
- Previous technical experience within the financial services industry
- Experience interpreting regulatory requirements and assessing control effectiveness
- Solid understanding of FCA Client Assets Sourcebook (CASS) requirements
- Working knowledge of FCA regulatory framework for ISAs, investment products and pension products
- stakeholder management
- clear communication
- analytical thinking
- MI reporting and analysis
- CASS regulatory knowledge
- risk and control assessment
Technical CASS Analyst in Cardiff employer: Legal and General
Legal & General (L&G) is an exceptional employer that prioritises employee growth and well-being, offering a collaborative work culture where innovation thrives. As a Senior Azure Platform Engineer, you'll have the opportunity to work with cutting-edge technologies in a supportive environment that values flexibility and personal development, ensuring you can achieve both professional and personal goals while contributing to meaningful financial solutions for millions of customers.
