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CASS Consultant (Contract)

Banking Operations
City of London
United Kingdom
13-10-2020 11:27 AM
  • Daily review and sign-off of client money reconciliations produced by the Funds’ Transfer Agent to validate the output (e.g. review of the sufficiency of the narratives to explain breaks, and timeliness of break clearance) and focus on any unusual balance
  • Daily sign-off of funding requirements for shortfalls
  • Review of breaches to identify CASS elements and sign-off of remediation
  • Review of CASS related missing information for timely transaction processing produced by the Funds’ Transfer Agent (e.g. late payments, evidence of funding movements, etc.)
  • Review, sign-off of CASS related reporting requirements to the FCA (e.g. Client Money and Asset Returns)
  • Sign-offs on breach reporting to the FCA
  • Review of monthly KPIs produced by the Funds’ Transfer Agent in order to inform governance and oversight requirements
  • Breach trend analysis
  • Production of any reporting to key committees responsible for CASS operational effectiveness
  • Coordination of the annual CASS audit and other periodic reviews/monitoring (e.g. compliance and internal audit reviews)
  • Production of, sign off and review of key CASS-related policies and procedures both internally and at the Funds’ Transfer Agent
  • Periodic testing of key CASS procedures at the Funds’ Transfer Agent
  • Coordinate the training of key firm personnel in CASS obligations
  • Participation in due diligence reviews of Funds’ Transfer Agents and banks from a CASS perspective
  • Key contact for the FCA on CASS related matters
  • Participate and stay up to date on industry led events related to CASS

Ryan Green

Recruitment Consultant

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