Job Title: CASS Oversight Analyst

Location: Capital Group, 1 Paddington Square, London, W2 1GL

Job Summary: Assist the CASS Officer to develop and maintain an appropriate governance and oversight frameworks to monitor the operational effectiveness of processes, systems, and controls to achieve compliance with the FCA CASS rules. Provide support to broader IST team as required.

Reports to: CASS Officer

Subordinates: None

Organisation: Investor Services, Fund Platform, Investment Operations

Principal Accountabilities/Performance Objectives:

• Work closely with CASS Officer to help maintain an effective CASS risk and control framework and ensure that risks are managed with processes and controls designed in accordance with Capital Group policies, procedures and relevant regulations.

• Assist with the running of the CASS Oversight Committee and BoD Reporting including collating packs, management Information (MI), minutes and actions

• Assist the CASS Officer to identify, document, and mitigate current and emerging CASS risks by working collaboratively with other parts of the business.

• Review CASS breaches and maintain oversight of remedial actions until closed

• Assist with due diligence reviews, site visits, third party oversight workshops/forums, reviews of controls reports and acknowledgement letter(s) in accordance with CASS and SYSC rules

• Prepare monthly CMAR data for submission to the FCA and sign off with the CASS Officer

• Assist with managing the CASS audit process and submission, liaising with the Auditors, Transfer Agent and internal stakeholders, as required

• Assist with delivering and maintaining CASS training in line with internal policies to relevant staff members and identify any development needs of Associates

• Assist with the oversight of CASS related processes undertaken by third party providers e.g. client money accounts(s), client money reconciliations, CMAR

• Assist with maintenance of CASS Resolution Pack (RP) in accordance with the CASS rules

• Maintain an up-to-date knowledge of upcoming regulatory change in relation to CASS, market and industry developments.

• Assist with maintain the firms' CASS policies and procedures, conduct regular reviews, and ensure all staff are aware of policies and have understood the firm's approach to CASS.

• Assist the CASS Officer with ad-hoc tasks and projects to maintain a robust CASS Oversight framework

• Assist Client Operations with investor onboarding, support and maintenance tasks, as well as ongoing ad hoc tasks and projects, as required

• Assist IST Oversight team with outsourced provider oversight and any ongoing ad hoc tasks and projects, as required

• Assist the CASS Officer with Internal Audit and Compliance Monitoring reviews, as required

Experience / Skills

Essential

• Educated to Degree level (or equivalent).

• 4+ years’ experience in a FCA CASS Oversight function or similar, ideally in a CASS medium/large firm using an outsource provider and/or experience of working on CASS medium/large firm audits or advisory assignments.

• Detailed understanding of FCA CASS rules with business and operational knowledge/experience with a focus on CASS 7

• Experience in engaging with CASS Auditors and the FCA on CASS matters.

• Experience in maintaining oversight of a third-party relationship via an outsource model.

• Evidence of effective working relationships with internal and external stakeholders.

• Flexible, adaptable, and able to multi-task in a fast paced and changeable environment.

• Effective communication skills both verbally and written, with an ability to articulate issues clearly and logically.

• Strong analytical, written skills and presentation skills.

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In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital’s annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.

You can learn more about our compensation and benefits here.

We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.