CASS Audit, Assisant Manager
- Recruiter
- Clarke Roberts
- Location
- Leeds, West Yorkshire
- Salary
- £35000-£40000
- Posted
- 17 Jan 2017
- Closes
- 24 Jan 2017
- Job Title
- Audit
- Experience Levels
- Qualified Accountant
- Contract Type
- Permanent
- Hours
- Full Time
A risk and regulatory team of a Global Firm are looking to improve their CASS capability by appointing a CASS Auditor at Assistant Manager level.
The team specialise in providing advisory, internal audit and CASS audit services to major financial institutions. This work includes assisting firms in the development and assessment of the effectiveness of their governance, risk and compliance arrangements.
Protection of Client Assets is a key objective of the FCA and consequently they are increasingly advising a number of firms on their Client money and Custody Assets control environments.
Responsibilities
- Performing external CASS audit work, preparing reasonable assurance reports to the FCA on firm’s compliance with CASS 6, 7, 8 and 10.
- Undertaking CASS advisory engagements, reviewing the CASS control environments and reporting to firms key areas of control weakness and areas of non-compliance.
- Keeping up to date FCA changes, technical and industry developments in the field of Client Assets.
- Providing CASS training – internally to colleagues and externally to key client staff.
To qualify for the role you must:
- Have Financial Services experience, either as part of a Financial Services Institution or in an audit, advisory or business consulting capacity in:
- Investment Management and/ or
- Stock broking
- Have an excellent academic track record. Graduates with a professional accounting qualification (or working towards a professional qualification) are our preferred candidates but we will consider all candidates that have very strong and proven CASS technical skills.
- Significant relevant consulting, risk management or business expertise within an investment manager or stock broker.
- Good knowledge of the wider financial services industry, and the regulatory environment.
- Be a CASS specialist already or have some knowledge and a keen desire to develop this into a specialist skill set.