CASS Oversight & Controls / Operations Support Analyst

  • Competitive
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Arbuthnot Latham & Co., Limited
  • 04 Jun 18 2018-06-04

To provide high quality and effective CASS support within the ALIM Operations function to ensure all CASS related processes, projects and issues are managed effectively at all times and driving them to conclusion. Act as secretary to the CASS Committee, prepare and analyse MI with team members so that key issues are highlighted and addressed.

• Assist with various key control tasks to ensure a strong 1st line of defence is maintained within operations. This includes activities such as; maintaining an accurate Data issues log for IM Ops, ensuring Errors & Complaints reports are logged and follow up corrective actions are completed.
• Coordinating CASS audits including the collation and distribution of audit deliverables, ensure all relevant follow up items are addressed.
• Build an expert awareness of CASS regulations when there is constant change in the industry and market place.
• Review CASS breaches to identify trends, issues, and preventative actions, ensuring that sufficient procedures and controls are in place to prevent reoccurrence.
• Investigating complex outstanding items and rectifying anomalies to ensure accurate transactions and records are maintained
• Maintaining a detailed knowledge of operational processes and systems, including an end-to-end understanding of the tasks and how they relate or impact on processes
• Managing the oversight of third party CASS activities, ensuring there are appropriate and robust systems and controls in place
• Sharing knowledge to ensure the team are appropriately trained in CASS rules
• Evaluate and ensure that all existing and new processes are CASS compliant
• Working closely with risk and compliance to ensure a robust CASS control framework is in place
• Maintaining policies, documentation and matrices in line with agreed responsibilities
• Be responsible for the maintenance and control of the CASS Resolution Pack
• Ensure all process maps are kept up to date and any new processes or procedures are accounted for, challenge processes to ensure they are fit for purpose.
• Assist with the delivery of internal functional projects and participate in the on-going process improvement initiatives.
• Assist to ensure effective collaboration with internal & external suppliers / partners to meet business needs & ensure appropriate delivery of service levels.  Assist with collation of SLA and KPI data to monitor effectiveness of delivery.
• Assist with the collation and production of functional MI.  Track and monitor action items attributed to the IM Operations team that emanate from internal committees (e.g. Board, Exco, CMP, CASS Committee) in order to ensure that key deliverables are achieved within set timeframes. Collate, prepare and distribute appropriate briefing materials, ensuring that appropriate follow-up actions are taken.

Knowledge & Experience

• Investment administration knowledge and experience (preferable)
• Strong technical & IT knowledge, including advanced excel
• Excellent CASS knowledge applied in an Investment Management environment
• Ability and confidence to deal effectively and professionally with people at all levels of the organization
• Have exposure to Tercero Investment Management system (preferable)
• The individual should demonstrate an ability to work in a methodical, logical and accurate fashion. Must be conscientious and diligent in their work to ensure accuracy of data. Must understand importance of and deliver accuracy
• Excellent time management, organisational & administrative skills, ability to work under pressure, responsible, proactive, dedicated and consistently able to achieve results with minimal supervision.  Remains motivated and confidential at all times. Ability to act on own initiative

Key Skills

• Attention to detail, quality, high standards
• ‘Completer Finisher’ by nature with confidence to provide robust follow up
• Ability to work well in a team environment
• Sense of urgency when required
• Strong communication skills, both written and verbal with a positive demeanour
• Capable of working under pressure and using own initiative and with minimal supervision
• Ability to handle multiple tasks simultaneously whilst remaining flexible, proactive and efficient
• Aptitude for learning and willingness to develop & expand role where required

Core Competencies
 
• Excellent Administrative and Organisational skills
• Communication and Confidence
• Team Working
• Planning and Reviewing
• Working Proactively
• Problem solving and judgement