Senior Manager (CASS)

  • Location


  • Discipline:

    Finance & Audit

  • Job type:


  • Email:


  • Job ref:


  • Published:

    almost 3 years ago

The Client: A leading consultancy firm

Roles and Responsibilities:

  • Delivery of client engagements, including both audits and non-audits, leading small sized teams and providing input to larger, multi-disciplinary teams.
  • Managing partner involvement on engagements, providing progress reports as required.
  • Acting as the primary contact for clients.
  • Delivering Section 166 reviews and reporting to the FCA as part of a wider team.
  • Providing clients with assurance over their arrangements for producing, validating and submitting monthly regulatory returns in respect of client assets.
  • Advising and assisting clients with implementation of systems and processes to comply with both current and potential changes to the CASS rules. 
  • Advising clients on CASS issues and providing assurance over existing processes.
  • Advising client on the development, implementation and/or effectiveness of client asset governance structures.
  • Development and delivery of client asset based training programmes for clients and internally
  • Provision of technical support and advice internally in respect of CASS audits.
  • Taking a leading role in the identification of business development opportunities and the preparation of client proposals in order to assist in meeting overall departmental sales targets.
  • Mentoring and coaching other less experienced team members, including acting as a formal performance manager to help junior staff fulfil their potential.
  • Building the reputation of the firm through the quality of work, knowledge and experience relevant to the industry.

Qualifications and Skills:

  • Strong understanding of businesses, structures, governance frameworks and process & control infrastructures of firms in the investment management sector.
  • Excellent stakeholder and relationship management skills and ability to develop and maintain strong internal and external network of contacts.
  • Strong leadership skills and ability to manage a team of professional staff.
  • Strong background in regulation with deep technical skills in capital, liquidity or conduct of business areas and an appetite to learn more.

Experience and Background:

  • Educated to degree level or equivalent.
  • Professional qualification preferred, with strong knowledge of regulatory rules and guidance but crucially the practical application within the investment management sector.
  • Project management skills, demonstrated by a record of regulatory project delivery.
  • The ability to evaluate technical issues, analyse facts, consult and deliver solutions to clients.
  • Excellent communication and presentation skills; including an ability to communicate well with clients in writing and verbally.
  • Relevant financial services experience with a regulatory focus, either as part of a financial services firm, advisory capacity or FCA.
  • Understanding of regulatory developments and key current issues facing clients.