The CASS Audit Senior’s primary role is to act as the expert within Internal Audit carrying out testing against the rules within the Financial Conduct Authority’s Client Assets Sourcebook (CASS) regulations.

Principle Responsibilities:

• To work with the CASS audit Manager to provide CASS specific direction and support to audit management and the audit team in general.
• Keep up-to-date with development of the CASS regulations and their application to the Company, including liaising with Compliance and Risk.
• Ensure that CASS regulations, risks and controls are appropriately covered in the CASS audits they are responsible for completing,
• Lead CASS specific audit reviews of the business and operations.
• Work with the CASS Audit Manager to provide a view on the validity and risk implications of any CASS related audit issues.
• Challenge Business/Operations Management to ensure appropriate remedial action has been taken where issues have been identified.
• Represent Internal Audit in all CASS related projects and committees assigned,
• Work with the CASS Audit Manager to provide input to and deliver CASS training.
• Lead other non-CASS related audit reviews.
• Carry out other ad-hoc tasks and projects as directed by Audit Management.

Qualifications

• At least 4 years-experience in CASS related roles.
• Good understanding of CASS regulatory requirements
• Good general knowledge of the financial services industry and its regulations and laws.
• Strong understanding of Custody Operations/Banking, Transfer Agency and other Operations impacted by the CASS Rules.
• At least 4 years-experience in an Internal/External Audit role preferred.
• Proven track record of delivering risk based projects.
• Experience of dealing with and presenting to senior management.
• Knowledgeable on good governance practices
• Skill in negotiating issues and resolving problems.
• Considerable skill in effective verbal and written communications, including active listening skills and skill in presenting findings and recommendations.
• Ability to establish and maintain harmonious working relationships with business unit management, operational risk management, co-workers, and staff and external contacts, and to work effectively in a professional team environment.
• Good leadership skills including coaching, mentoring and team building.
• Strong interpersonal and teamwork skills.
• Work Quality: The ability to demonstrate attention to detail to achieve quality results.
• Planning and Organising: The ability to establish a systematic course of action for self or others to ensure consistent accomplishment of specific objectives. The ability to multi task and balance priorities whilst managing a number of competing demands on schedule.
• Analytical Thinking: The ability to analyze large amounts of complex information, to identify and present the key issues in a persuasive way and develop strategies to resolve.
• Conceptual Thinking: The ability to identify patterns or connections between situations that are not obviously related and to determine key underlying issues in complex situations and leadership skills including coaching, mentoring and team building.

Qualifications and Training

• Degree Educated, preference for accountancy or financial services related
• Additional professional qualifications