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For Companies At a Glance
- Tasks: Oversee daily CASS checks and ensure compliance with regulations.
- Company: Join a leading multinational funds company making an impact in the finance sector.
- Benefits: Enjoy a hybrid work model and competitive salary between £40,000 - £50,000.
- Why this job: Be part of a dynamic team focused on operational resilience and compliance in finance.
- Qualifications: Knowledge of fund industry and CASS regulations; strong Excel skills required.
- Other info: Opportunity to enhance oversight processes and build key relationships across departments.
The predicted salary is between 32000 - 40000 £ per year.
Job Description
Rev & Regs are recruiting for a CASS & Oversight Executive for a large multinational funds company.
You will carry out day to day CASS Oversight on the businesses Third-Party Administrator and support the Head of CASS & Operational Resilience Oversight in ensuring the company are compliant with the CASS regulations. In addition, you will assist with the maintenance of the businesses Operational Resilience Strategy within the Operational Resilience framework.
Responsibilities:
- To carry out daily checks of the Client Money and Dealing reconciliations.
- Carry out a suite of Oversight checks on a daily, weekly, and monthly basis.
- Raise and log all CASS breaches and issues that require investigation and track through to completion.
- Review the CASS procedures ensuring they are fit for purpose and accurate.
- Assist with producing papers and minutes for CASS Committee meetings.
- Assist with maintenance of the CASS rule mapping and risk assessment.
- Liaise with Internal Audit, Compliance and External Auditors when CASS reviews are undertaken.
- Maintaining Operational Resilience regulatory requirements.
- Work closely with other departments managing business continuity planning and testing, incident management and cyber security.
- Maintain Operational Resilience scenario testing log and assist Business lines in remediating any identified issues.
Experience:
- Good understanding of the Fund Industry.
- Knowledge of Reconciliations and CASS 7, 8, 9 & 10
- PC Literate, especially Intermediate Word and Excel skills, including VLookup and Pivot Tables.
- Capable of learning and understanding systems for daily use.
- Ensure any issues identified are flagged to management.
- Key relationships are built and maintained.
- Look for ways to enhance oversight, implementing and continuously developing the robust monitoring schedule.
- Look to build out and enhance Operational Resilience framework.
Location: Hybrid (2 days per week in City of London office)
Salary – £40,000 – £45,000
CASS & Oversight Executive employer: Rev & Regs
Contact Detail:
Rev & Regs Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land CASS & Oversight Executive
✨Tip Number 1
Familiarize yourself with the CASS regulations and the specific requirements for oversight. Understanding the nuances of CASS 7, 8, 9, and 10 will give you a significant advantage during interviews.
✨Tip Number 2
Network with professionals in the fund industry, especially those who have experience in CASS oversight. Engaging with them can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Brush up on your Excel skills, particularly VLookup and Pivot Tables. Being able to demonstrate your proficiency in these areas can set you apart from other candidates.
✨Tip Number 4
Prepare to discuss your experience with operational resilience and business continuity planning. Highlight any relevant projects or initiatives you've been involved in to showcase your capability in this area.
We think you need these skills to ace CASS & Oversight Executive
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the CASS & Oversight Executive position. Understand the key responsibilities and required skills, especially regarding CASS regulations and operational resilience.
Tailor Your CV: Customize your CV to highlight relevant experience in the fund industry, reconciliations, and compliance with CASS regulations. Use specific examples that demonstrate your understanding of the role and your ability to perform the required tasks.
Craft a Strong Cover Letter: Write a cover letter that connects your background to the responsibilities listed in the job description. Emphasize your knowledge of CASS 7, 8, 9 & 10, and your proficiency in Excel, as these are crucial for the role.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, and that all information is clear and concise. A polished application reflects your attention to detail.
How to prepare for a job interview at Rev & Regs
✨Understand CASS Regulations
Make sure you have a solid grasp of the CASS regulations, especially sections 7, 8, 9, and 10. Be prepared to discuss how these regulations impact daily operations and oversight in the funds industry.
✨Showcase Your Analytical Skills
Highlight your experience with reconciliations and your proficiency in Excel, particularly with VLookup and Pivot Tables. Be ready to provide examples of how you've used these skills to solve problems or improve processes in previous roles.
✨Demonstrate Operational Resilience Knowledge
Familiarize yourself with operational resilience strategies and frameworks. Discuss any relevant experience you have in business continuity planning, incident management, or cyber security, as these are crucial for the role.
✨Build Relationships
Emphasize your ability to build and maintain key relationships across departments. Prepare to share examples of how you've collaborated with internal audit, compliance, or external auditors in past positions.
