Senior Audit Manager (CASS)

3 days left

MERJE Limited
London (Greater)
£70,000 - £90,000
21 Jun 2019
28 Jun 2019
Job Title
Contract Type
Full Time

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.

Apply for Senior Audit Manager (CASS)

Already uploaded your CV? Sign in to apply instantly


Upload from your computer

Or import from cloud storage

Your CV must be a .doc, .pdf, .docx, .rtf, and no bigger than 1MB

Upload from your computer

Or import from cloud storage

Your Supporting Document must be a .doc, .pdf, .docx, .txt, .rtf, and no bigger than 1MB

4000 characters left

When you apply for a job we will send your application to the named recruiter, who may contact you. By applying for a job listed on GAAPweb you agree to our terms and conditions and privacy notice. You should never be required to provide bank account details. If you are, please email us.