CASS Control & Assurance Specialist (FTC)

About the Business

Quilter plc is a leading wealth management business, helping to enable brighter financial futures for every generation. Quilter oversees £126.3 billion in customer investments (as of August 2025). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two segments: Affluent and High Net Worth.

Affluent encompasses the financial planning business, Quilter Financial Planning, the Quilter Investment Platform and Quilter Investors, the multi-asset investment solutions business. High Net Worth includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning – offering a highly personalised service to private clients, charities, trustees, and professional partners. Quilter Cheviot has presence throughout the UK, Ireland and Channel Islands.

At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve, including our colleagues. Our business is transforming, continually modernising, and becoming even more customer centric. So, if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it\\\’s the perfect time to join us!

About the Role

Level: 4

Location: Southampton

Contract: Fixed Term Contract

Contract Duration: 12 months

The CASS Control & Assurance Specialist plays a pivotal role in supporting the Head of CASS Control and Assurance in delivering robust governance, independent assurance and oversight of CASS compliance across the Quilter Affluent Division entities, as well as any CASS activities outsourced to third-party administrators (TPAs) by those entities.

The role combines technical expertise with operational leadership, ensuring that monitoring and assurance activities are executed to the highest standard and that the team operates effectively on a day-to-day basis. Acting as the operational deputy for the Head of CASS Control & Assurance, the Specialist will act as the first point of escalation for operational issues, allocate work across the team, and oversee the delivery of monitoring and assurance activities, both internal and external; specifically including the management of the annual external CASS audit.

They will play a key role in supporting the development and performance of CASS Technicians, providing coaching, feedback, and inputting into training needs and capability assessments, in collaboration with the Head of CASS Control & Assurance. They will also exercise delegated authority to review and sign off MI packs and draft assurance reports prior to submission to the Head of CASS Control & Assurance.

This role requires strong collaboration with internal stakeholders and external partners, promoting a culture of accountability and continuous improvement.

The role also champions a strong CASS culture by embedding regulatory awareness, promoting ownership of client asset responsibilities, and driving behavioural change across operational teams and TPAs, ultimately ensuring the safeguarding of client money and assets across all relevant entities.

Key Responsibilities

• Operational Leadership & Oversight
  • Coordinate day-to-day operations of the CASS Control and Assurance team, ensuring effective work allocation and prioritisation aligned to business needs.
  • Act as the first point of escalation for operational issues, providing guidance and support to CASS Technicians.
  • Support team development by identifying training needs, promoting knowledge sharing, and contributing to performance and capability assessments.
• Assurance Delivery
  • Lead the execution of the CASS Assurance Plan, overseeing internal and external monitoring and assurance reviews.
  • Ensure findings are clearly documented and actions are tracked through to completion.
  • Maintain audit readiness and manage internal and external audit engagements to uphold a strong regulatory posture.
• Risk Event Management
  • Oversee accurate and timely logging of CASS risk events in the firm\\\’s risk register.
  • Investigate issues, identify root causes, and ensure prompt and effective resolution in collaboration with internal and external stakeholders.
• Stakeholder Engagement & Culture Building
  • Engage with internal teams and third-party administrators to embed a strong CASS culture.
  • Provide subject matter expertise to promote best practice and ensure regulatory obligations are understood and met.
  • Champion behavioural change and ownership of client asset responsibilities across operational teams.
• Reporting & Governance
  • Contribute to the preparation and delegated approval of high-quality MI and assurance reporting for senior governance and board committees.
  • Regular attendance at CASS Governance meetings
  • Review and sign off MI packs and draft assurance reports prior to submission to the Head of CASS Control & Assurance.
• Continuous Improvement
  • Identify opportunities to streamline processes, optimise technology, and enhance control effectiveness across the CASS control framework.
  • Foster a culture of excellence, accountability, and continuous improvement to ensure positive client outcomes and regulatory compliance

About You

You are an experienced CASS professional with strong technical knowledge of the FCA\\\’s CASS rules and a proven ability to apply this in a practical, operational context.

You demonstrate leadership and coaching skills, with the ability to manage priorities, allocate work, and support the development of others. You are proactive in mentoring team members and contributing to their professional growth, with a focus on building technical capability and supporting performance excellence.

You are confident in making decisions and exercising delegated authority, and you thrive in a collaborative environment where you can influence and drive positive change. Strong analytical skills, attention to detail, and a commitment to continuous improvement are essential.

Skills & Experience:

• Proven specialist knowledge within CASS-regulated environments, with experience across platform operations and client asset governance.
• Deep technical expertise in the FCA\\\’s CASS regime and associated regulatory frameworks, with a track record of translating complex requirements into effective operational controls.
• Proven experience in managing independent assurance programmes, external audit engagements, and promoting continuous improvement across control environments.
• Ability to work across the three lines of defence, with collaboration across Internal Audit, Compliance, Risk, and external parties.
• Able to operate effectively within defined risk appetites and CASS-focused control frameworks, supporting oversight and prompt remediation of breaches.
• Stakeholder engagement and relationship management capabilities
• Experience in leading teams or acting as a deputy to leadership in a regulated environment

#LI-FD1

Inclusion & Diversity

We value diversity and strive to promote inclusivity in all aspects of our culture. We believe in equal opportunities for all, ensuring that no applicant encounters less favourable treatment based on anything but their skills, qualifications, experience, and potential. We celebrate the unique contributions of a diverse workforce and create a respectful, nurturing environment where every colleague can thrive.

Values

Do the right thing: We act with integrity and are proudly committed to going above and beyond in service of our clients and the support we provide our communities.

Always curious: We continuously seek new ideas and knowledge so we\\\’re one step ahead of our clients\\\’ needs. We look for inspiration everywhere and encourage experimentation, recognising that this is how we create brilliant solutions for brighter futures.

Embrace challenge: We aim high to transform our potential into meaningful outcomes. With ambition as our driving force and a steadfast commitment to growth, we succeed for the good of every generation.

Stronger together: Combining our diverse talents, we accomplish more collectively than we ever could do alone. We speak openly, actively listen, and support each other, and constructively challenge and embrace new ideas. We seek empowerment and demonstrate ownership and trust, with the confidence to make impactful decisions.

Core Benefits

Holiday: 182 hours (26 days)

Quilter Incentive Scheme: All employees are eligible to participate in incentive scheme, to incentivise business performance and their contribution.

Pension Scheme: A non-contributory company pension scheme that can be boosted through personal contributions.

Healthcare Cash Plan: Jersey employees only.

Benefit Allowance: A cash benefit allowance is payable in lieu of some of our core benefits.

In addition to our core benefits, we offer a range of flexible benefits to UK employees that you can choose from and pay for conveniently via a salary deduction.