CASS Audit Manager II Job
CASS Audit Manager II (Job Number: 1308959)
Description
CASS Audit Manager
Description
The CASS Audit Manager's primary role is to act as the expert within Internal Audit on the Financial Conduct Authority's Client Assets Sourcebook (CASS) regulations, and how these apply to the business and operations of the Company.
Principle Responsibilities:
· 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 Audit Plan, and develop a mechanism by which progress can be monitored and reported to senior management.
· Lead and manage CASS specific audit reviews of the business and operations.
· 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.
· Act as the primary audit representative in all CASS related matters including projects, to ensure that any changes to operating models are fully assessed from a risk perspective
· Represent audit management at CASS specific and other Governance committees.
· Provide input to and deliver CASS training.
Lead and manage other non-CASS related audit reviews.
Carry out other ad-hoc tasks and projects as directed by Audit Senior Management.
Qualifications
Essential Skills/Experience :
- At least 5 years experience in CASS related roles.
- Excellent understanding of CASS regulatory requirements
- Good general knowledge of the financial services industry and its regulations and laws.
- Detailed understanding of Custody Operations/Banking, Transfer Agency and other Operations impacted by the CASS Rules
At least 5 years experience in an Internal/External Audit role preferred.
- Proven track record of managing and 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 ood leadership skills including coaching, mentoring and team building.
Qualifications and Training
- Degree Educated, preference for accountancy or financial services related
- Additional professional qualifications
Primary Location: United Kingdom-United Kingdom-Greater London-London
Internal Jobcode: 53023
Job: Audit/Compliance/Risk
Organization: Audit-HR06014
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