Client Assets Director

London, England, United Kingdom

CASS Director


This client is looking for a CASS or Client Assets lead.  This is an oversight role but will involve various elements of the process including; controls testing, operational risk framework, production oversight and assisting in driving the client assets committees.


Key Responsibilities;

Oversight of the production of:

  • Daily/Monthly Management Information production, including governance committee MI.
    CASS Policy and Procedures and their maintenance.
  • Monitoring and development of the controls around the Client Assets processes
  • Challenge existing processes and governance oversight
  • Implement best practise across functions in relation to CASS requirements and compliance
  • Reduce the risk of reputational and regulatory failings associated with Client Assets
  • Development and enhancement of Management Information around Client Assets
  • Ensure the firm keeps up to date with the FCA CASS requirements and other Client Assets requirements
  • Development of a working relationship with other departments both onshore and offshore, particularly Operations, Compliance, Risk, IT and Front Office Treasury
  • Escalation of issues and incidents to the respective CF10a or SMR
  • Main day to day contact point of CASS internal and external audits

Key Skills;

  • Management experience is a preferred
  • Client Asset knowledge at either a regulatory body or banking organisation.
  • Operations background preferred but regulatory knowledge around CASS is key.
  • Self Starter
  • Able to face to senior stakeholders
  • Broker experience might be useful