This job is no longer available.
You can view related vacancies or set-up an email alert notification when similar jobs are added to the website using the buttons below.

CASS Analyst

£30000 - £38000 per annum + Strong package
image

PLEASE CONTACT

PAUL GEIST

CASS Oversight Analyst based in Leeds or Manchester, 2 days working home ongoing (Currently 100% working from home) The position supports the CASS Oversight Manager and the Head of CASS & Regulatory Reporting to oversee the operational effectiveness of the system and controls designed to achieve compliance with CASS to ensure the organisation meets its client and regulatory obligations to protect client assets.

KEY RESPONSIBILITIES:

  • Co-ordinate the CASS Office
  • Support to ensure appropriate systems and controls are in place to enable the firm to comply with the FCA CASS rules and regulations
  • Identify, escalate and recommend realistic and compliant solutions to key stakeholders using informed root cause analysis
  • Promote good CASS compliance and awareness across the firm
  • Ensure relevant CASS policies and procedures are designed and operating effectively
  • Oversee the operational effectiveness of the firm's CASS systems and controls that are designed to achieve compliance with CASS
  • Review, analyse and process map operational CASS processes and actual customer journeys to identify key risk areas and ensure the compliant handling of customer assets
  • Facilitate the Monthly Client Money and Asset Return (CMAR) review and challenge prior to submission to FCA.
  • Support in the management and accuracy of the CASS Resolution Pack, including a Monthly report to the CASS Committee
  • Develop and implement a comprehensive, appropriate and holistic first line of defence CASS Monitoring program.
  • Ensure training to all staff is carried out in line with the CASS T+C framework and provide SME input on content and relevance
  • Develop and maintain strong working relationships with all key internal stakeholders and external third parties, including external audit providers and the FCA
  • Review, monitor and challenge all relevant CASS MI, including exceptions, risk events and breaches
  • Provide support on projects/business changes that have an impact on the firms CASS obligations
  • Make informed risk decisions and effectively and credibly debate and challenge management recommendations within your role in line with the approved Risk Appetite Framework
  • Maintain up to date knowledge around the interpretation and development of CASS rules
  • Two years of CASS or related experience


KNOWLEDGE, SKILLS, EXPERIENCE REQUIRED:


• Completion of CISI CASS Level 3 qualification - Or happy to study
• Understand the CASS environment within Stockbroking/ Wealth management or Banking sectors
• Advanced Understanding of Operations and business unit Management
• Understand the Risk and Control environment
• Interpersonal and communication skills with the ability to influence up to and including Executive/Board level
• Advanced analytical skills; ability to extract, analyse, manipulate, interpret, and summarise complex data and information
• Advanced PC Skills, Excel, Word, PowerPoint


McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

 

To stay safe in your job search we recommend that you visit SAFERjobs, a non-profit, joint industry and law enforcement organisation working to combat job scams. Visit the SAFERjobs website for information on common scams and to get free, expert advice for a safer job search.

MORE JOBS LIKE THIS
MORE JOBS LIKE THIS
  • HR Systems Lead, Success Factors - Talent Succession
    £425 - £475 per day

    HR Systems Lead (Success factors), Talent Succession

    Our client, a highly regarded global financial services organisation are looking to appoint a HR Systems Lead for a global project that will focus on Talent Succession and Internal Mobility.

    Reporting into the Head of HR Design and Solution Architecture with a dotted line reporting into the Future Skills programme, this role will have overall accountabilities of:

    • Acting as the design lead for key projects or initiatives with a focus on Talent Succession Internal Mobility.
    • Owning the planning and implementation of SRT and UAT for the Future Skills programme.
    • Applying employee experience / service mindset to develop the solutions.
    • Responsible for providing expertise to, and develop relationships with HR and HR IT stakeholders to ensure new and changed solutions, are optimal, and in line to meet the business objectives.
    • Responsible for ensuring that all changes to HR process and system changes are appropriately user acceptance tested and signed-off.
    • Aligning SuccessFactors to deliver effective releases across modules and working with different data models across different systems.
    • Provide oversight and governance of HR Designs.
    • Responsible for working on a day-to-day basis with HR leads of key systems (Taleo, ServiceNow, SuccessFactors Systems).

    Experience:

    • Experience in HR with a strong understanding of the impact HR processes have upon HR Systems.
    • Have a natural curiosity to gain a deeper understanding of client needs..
    • Ability to develop strong relationships with key stakeholders.
    • Experience with SuccessFactors or similar solution.
    • Experience in dealing with the clients of HR to understand the user perspective.
    • Experience within a Design Authority in major transformation programme.

    McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

  • HR Systems Lead, Success Factors - Talent Succession
    £425 - £475 per day

    HR Systems Lead (Success factors), Talent Succession

    Our client, a highly regarded global financial services organisation are looking to appoint a HR Systems Lead for a global project that will focus on Talent Succession and Internal Mobility.

    Reporting into the Head of HR Design and Solution Architecture with a dotted line reporting into the Future Skills programme, this role will have overall accountabilities of:

    • Acting as the design lead for key projects or initiatives with a focus on Talent Succession Internal Mobility.
    • Owning the planning and implementation of SRT and UAT for the Future Skills programme.
    • Applying employee experience / service mindset to develop the solutions.
    • Responsible for providing expertise to, and develop relationships with HR and HR IT stakeholders to ensure new and changed solutions, are optimal, and in line to meet the business objectives.
    • Responsible for ensuring that all changes to HR process and system changes are appropriately user acceptance tested and signed-off.
    • Aligning SuccessFactors to deliver effective releases across modules and working with different data models across different systems.
    • Provide oversight and governance of HR Designs.
    • Responsible for working on a day-to-day basis with HR leads of key systems (Taleo, ServiceNow, SuccessFactors Systems).

    Experience:

    • Experience in HR with a strong understanding of the impact HR processes have upon HR Systems.
    • Have a natural curiosity to gain a deeper understanding of client needs..
    • Ability to develop strong relationships with key stakeholders.
    • Experience with SuccessFactors or similar solution.
    • Experience in dealing with the clients of HR to understand the user perspective.
    • Experience within a Design Authority in major transformation programme.

    McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

  • Senior Python Developer
    £12000 - £80000 per annum + pension , bonus

    Senior Python Developer

    MyClient is one of the world's largest and respected financial institutions Offering careers that provide endless opportunity – helping millions of individuals and businesses thrive, and creating financial and digital solutions. You will benefit from working for an institution that is constantly evolving and thriving in a changing world.

    What will you be doing?

    • Developing high quality maintainable code for yourself and the team

    • Making technical decisions that require a strong understanding of the problem domain i.e. both deep technology and business product knowledge.

    • Collaborating and communicating globally with other developers and team leads to build technical solutions

    • Using your strong knowledge of software development methods, tools and standards to ensure the team complies with practices

    What skills are required?

    • Extensive experience developing medium to large size Python applications

    • Knowledge of Equity Derivatives/Structured products, specially within electronic markets (FIX, REST, online etc.) arena serving structured retail indirect channels

    • Experience of server side development & multi-threaded code

    • Experience of HTTP protocol and web services

    For immediate consideration, pleass send your CV to Jmcmath@mcrgregor-boyall.com

    McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.


This job has now been filled but you may be interested in:

 

Compliance Manager - Advisory

SAVE
£50000 - £60000 per annum


Compliance Manager (Advisory) based in Leeds or Manchester with 40% home working (post Covid).

Role description
The Compliance Manager supports the Head of Legal & Compliance (incl. MLRO and DPO) and Senior Compliance Manager (Advisory) in the provision of a reliable and responsive advisory service on regulatory matters, internal policy and compliance process requirements to ensure compliance with new or existing regulations and best practices.
The successful candidate will be a compliance all-rounder providing a broad range of advisory services including:

Technical Advice
Providing technical advice on a wide range of regulatory matters including:

(expereince in all areas is not needed)

  • Business Conduct (incl. CASS, Product Governance, Financial Promotions, Personal Account Dealing, Complaint Handling, Appropriateness, Customer Vulnerability, Best Execution, SMCR, Outsourcing)
  • Financial Crime (incl. AML, ATF, ABAC, Sanctions, Market Abuse and Fraud)
  • Data Protection (incl. PECR)
  • Transaction Reporting
  • Pensions Regulation (incl. FCA, HMRC, TPR, FRC, QROPs etc.)
  • Individual Savings Account (ISA) Regulations (e.g. HMRC's "ISA Managers' Guidance")
  • PRIIPs / UCITS
  • London Stock Exchange, Takeover Panel and Listing Rules


The delivery of technical advice will range from responding to relatively straightforward ad-hoc issues (e.g. enquires from operational staff on individual CDD matters) to more complex in-depth support on major business initiatives (e.g. supporting business acquisitions).

Regulatory Change Management
The Compliance Manager is responsible for the Compliance Regulatory Change Management Process, ensuring that relevant 'upstream' legal and regulatory changes are proactively identified, analysed and communicated to the business and for overseeing the implementation of the business changes required to ensure ii's ongoing compliance with its regulatory obligations.

Financial Crime
The Compliance Manager is responsible for handling matters escalated for the identification of suspicious activity, or identified through the Enhanced Due Diligence process, and ensures appropriate steps are taken to address those activities and mitigate the risk to ii - including taking decisions regarding the submission of reports to relevant authorities (e.g. STORs and/or SARs) and regarding the maintenance of higher risk customers (including PEPs).

Breaches
The Compliance Manager is responsible for overseeing the Compliance Regulatory Breach Management Process and ensuring that Compliance Analysts have appropriately categorised and risk rated regulatory breaches.

Internal Policies
The Compliance Manager provides support to the Senior Compliance Manager with the development and maintenance of internal policies and standards.

Data Protection
In addition to advising on technical matters, the Compliance Manager is responsible for reviewing and approving Vendor Engagement Forms and Data Protection Impact Assessments.

Other Accountabilities
The Compliance Manager will be required to handle a variety of 'ad-hoc' requests and varied miscellaneous tasks, including Training, Committee work, Presentations, and requests for information.

Requirements

Regulatory Knowledge and Experience
As noted above, the successful candidate will be required to provide advice about a broad range of regulation and must therefore have a demonstrable track record of providing advisory services across a wide range of legal and regulatory matters relevant to a retail investment business, including Data Protection, Financial Crime and Pensions Regulation.

Sector Experence
Investment, banking or Financial Sercives broad back ground. Must understand Investments.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Regulatory and Compliance Reporting Manager

SAVE
Up to £65000 per annum
Regulatory and Compliance Reporting Manager, Manchester or Leeds and 40% homeworking post covid.

Online investment service with a Flat-fee investment platform seeking Investment Firm experience.

Opportunity:

This position will be responsible for the oversight of all prudential reporting in compliance with regulatory requirements. The role will be a supportive function to the Head of CASS & Regulatory Reporting. It will assist with all aspects of regulatory reporting, requiring an understanding of the regulatory environment applicable to a Group containing an investment firm and a credit institution.

Training can be given - The role will also be responsible for supervision of the Treasury Back Office and the daily review of trade reconciliations ensuring compliance with regulatory and associated Treasury limits.

Responsibilities:

  • Ownership of Prudential reporting for a Group containing an Investment Firm and Credit Institution, including CO-REP, FIN-REP other EBA returns. Responsibility for the accuracy of the data included and its compliance with the respective regulatory framework.
  • Ownership of the ICAAP process for the firm, including Pillar 1 compliance, Pillar 2 assessment, stress testing and Wind Down. This includes responsibility for the management of stakeholders involved in the process to ensure an effective challenge process/audit trail and presentation of the ICAAP at Exco/Board committees.
  • Supervision of treasury back office function including line management responsibilities.
  • Accountable for monitoring of the daily capital/liquidity adequacy for the firm.
  • Responsibility for the internal capital forecasts and Executive/Board reporting.
  • Ownership of the periodic Pillar 3 updates for the Group.
  • Maintain the first line of defence in relation to Prudential/Regulatory Reporting, maintaining policies set out by the firm, including appropriate escalation and risk event reporting and appropriate audit evidence is maintained.
  • Develop & maintain relationships with internal stakeholders (Business, Risk, Legal & Compliance) acting as the SME for prudential matters. Leverage these relationships to improve the quality, efficiency and effectiveness of the team.
  • Responsibility for the management of any future SREP engagements in relation to Prudential reporting.
  • Contribute to the development, implementation and embedding of the Prudential Risk Framework.
  • Make informed risk decisions and effectively and credibly debate and challenge management recommendations in line with the firms Risk Management Framework
  • Use the training and competence scheme to maintain the appropriate knowledge, skills and expertise to carry out the role competently.
  • Maintain up to date knowledge of the Prudential Regulatory framework.
  • Promote change through Root Cause Analysis from Risk events completed.
  • Knowledge of the regulatory environment and associated risks that require managing.
  • Logging/reviewing and creating actions around Risk Events – Understanding Risk via training and documentation available.

Skills needed:

  • Sound working knowledge of CRR/CRDIV including an understanding of the regulatory environment applicable to a Group containing an Investment Firm and Credit Institution.
  • Awareness of the Investment Firm Regulation (IFR) / Investment Firm Directive (IFD).
  • Proficient in Excel. Works to a high degree of accuracy at all times.
  • Advanced numeric ability.
  • Advanced financial reporting and analysis.
  • Meets full qualification requirements related to FCA handbook ‘Activity 16’ e.g. CISI level 3 Investment Operations Certificate (or equivalent).
  • Excellent stakeholder management skills.
  • Technically sound with good written and oral communication skills at all levels.
  • Strong report writing & presentation skills.
  • Advanced decision maker and ability to deliver effecting change.
  • Advanced problem solving and ability to perform route cause analysis.
  • Understanding of Investment products; characteristics and applications.
  • Understand the principles of Treating Customers Fairly.
  • Understand the principles of Training and Competence.
  • Outstanding interpersonal skills.
  • Able to work autonomously.
  • Proactive and self-driven networker.
  • Commercial and business acumen.
  • Good coach and mentor to team.
  • Progressive leadership style.
  • Resilient and resourceful.
  • Ability to develop external long-term relationships.
  • Experience of Prudential reporting for a Group containing an Investment Firm and Credit Institution
  • Experience of producing an ICAAP assessment including Pillar 2a/2b analysis and Wind Down
  • Line management experience
  • Awareness of the Investment Firm Regulation (IFR) / Investment Firm Directive (IFD).
  • Proficient in Excel and works to a high degree of accuracy at all times.
  • Excellent stakeholder management skills and able to present up to Board level

Trainging will be given - prudential reporting as the firm is changing and this could be removed front the position.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

Compliance Integration Manager - Pensions

SAVE
£65000 - £83000 per annum

Pensions Compliance Integration Manager is part of the team that are designing the new framework. This role will report into the Director of Service Design and the Director of Compliance.

Deliverables:

  • Have accountability for the definition, translation and embedding of regulatory risk appetite and culture to the programme so that it can be applied to the design of processes and compliance management controls, including financial crime, information security and data protection with reference to subject matter experts within the business
  • Ensure that design decisions have understood and applied the regulatory requirements and apply the decision making and escalation protocols that provides approval of decisions within the parameters of risk appetite and contractual provisions
  • In conjunction with the provider, design and create a framework for oversight of the compliant delivery of the outsourced services by the provider that is within regulatory and compliance risk appetite
  • Provide requirements to the Risk Integration Manager to enable the testing of key controls
  • Communicate the approach to the management of regulatory risk to the operational teams which will be overseeing the delivery of services with the provider during and post integration
  • Maintain a detailed knowledge of the applicable regulatory requirements and compliance framework in order to lead and conclude design and option discussions concerning the development of the provider’s approach to compliance procedures and controls
  • Identify and contribute to the workstream’s delivery risks
  • Work closly with other second line functions in order to facilitiate the setting of appropriate compliance assurance plans.
  • Design and create a framework for oversight of the compliant delivery of the outsourced services by the provider that is within the risk appetite
  • Design an approach to the oversight of the design and delivery of regulatory requirements that ensures all regulatory requirements are considered and covered.
  • Ensure that design decisions have understood and applied the regulatory requirements and apply the decision making and escalation protocols that provides approval of decisions within the parameters of risk appetite and contractual provisions
  • Execute the approach throughout the implementation phase so that the provider’s approach to the design of processes and controls is aligned to the firms requirements
  • Provide regular summary papers to programme board on progress
  • Design an escalation process for the resolution of annomollies and disputes regarding regulatory interpretation or application to be made within the programme, within the programme’s existing decision making processes; provide papers for governance and decision making for escalated topics
  • Training for operational teams on the interpretation and application of the oversight framework during and post integration
  • Input into the control validations of key processes carried out by the Risk Integration Manager and approve the provider’s documentation of control validation processes
  • Provision of regulatory interpretation to the programme including, but not limited to the interpretation and resolution of pensions legislation including application of guidance, intrepretation of provisions and implementation of reporting and notification requirements.
  • The role will spend time with the 2nd line compliance assurance team to ensure consistency of style and approach and keep 2nd compliance assurance team informed
  • The role will involve working and collaborating with colleagues and third parties at a senior level
  • The role will also interact with supplier compliance teams and wider programme
  • The role requires that the individual be comfortable with working on their own and delivering work within specific deadlines.


Experience and technical skills:

  • Experience of desiging framework for oversight of outsourced activities from a compliance perspective
  • Significant track record of delivering pragmatic business focused advice in a large scale pension environment
  • Technical expertise in relation to trust based defined contribution occupational pension schemes
  • Significant experience of the legislative provisions of the automatic enrolment regime and their practical application
  • Excellent knowledge and understanding of HMRC and TPR requirements, regulatory codes of practice and guidance
  • Experience of delivering programmes and projects linked to process improvment
  • Engage and influence at an executive and senior management level, manage stakeholders including negotiating and collaboration
  • Ability to communicate concepts clearly and apply decisions into workable processes.

Qualifications:

  • The following professional qualifications, or progress towards them, would be desirable:
  • APMI, ACII or FIA
  • Other pensions-related qualifications such as the PMI’s automatic enrolment or DC Governance qualifications would be useful
  • Experience working in, or advising on, master trust pension schemes may would be useful.



McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.