We're now looking to recruit a CASS Audit Lead! Reporting to the CASS Manager, the CASS Audit Lead will be responsible for leading and coordinating external CASS audits. This includes ensuring audits are delivered in accordance with the audit plan, coordinating audit activities, providing appropriate management information, and tracking audit actions through to closure.
What does the job involve?
1. Understanding in detail how CASS applies to AJ Bell group entities, including CASS governance and the controls in place to ensure client money and assets are segregated and protected.
2. Understanding the firm’s systems and IT controls that support the firm’s adherence to CASS.
3. Managing external audits from planning through to fieldwork, testing, reporting, and closure.
4. Managing inter-dependencies between CASS and Statutory audits.
5. Working closely with external audit teams and internal business areas to ensure audit work is managed efficiently and effectively from start to finish.
6. Planning and facilitating audit walkthroughs with external auditors and internal business areas. Providing CASS technical support as required.
7. Taking ownership of and managing sample requests from auditors, liaising with business areas to provide relevant evidence.
8. Performing a final quality review of audit evidence before submission to the auditor.
9. Monitoring overall progress of the audit and resources, highlighting inefficiencies, risks, and issues.
10. Preparing and maintaining appropriate management information, including status reports and end-stage assessments.
11. Action tracking and reporting.
12. Producing a quarterly aggregated breach schedule report, including rule mapping.
13. Identifying areas for improvement and proactively making recommendations for change.
In addition, supporting the firm’s wider CASS function by:
1. Providing regular audit status updates to CASS Forum and other forums and committees.
2. Undertaking root cause and trend analysis to enable the production of MI.
3. Providing support and assisting in the delivery of training to operational teams.
4. Supporting change initiatives, assessing the impact on CASS processes.
5. Representing the CASS team in relevant discussions and meetings.
Competence, Knowledge, and Skills:
1. Strong CASS understanding and knowledge, particularly of chapters 6, 7, 8 & 10 of the CASS handbook.
2. Strong planning and organisation skills.
3. The ability to effectively manage cross-functional teams and coordinate work across different teams and departments.
4. Experience working with Microsoft Office, including Excel, Word, and PowerPoint.
5. Excellent problem-solving and decision-making skills with the ability to compile and evaluate data for decision-making.
6. Excellent communication skills, both verbal and written.
7. Good understanding of financial services.
8. The ability to work well under pressure.
About Us:
AJ Bell is one of the fastest-growing investment platform businesses in the UK, offering an award-winning range of solutions for everyone, from professional financial advisers to DIY investors with little to no experience. We have over 503,000 customers using our platform to manage assets totaling more than £80.3 billion. Our customers trust us with their investments, and we strive to make investing easier to help more people take control of their financial futures.
Listed on the Main Market of the London Stock Exchange in December 2018, AJ Bell is now a FTSE 250 company.
Headquartered in Manchester with offices in London and Bristol, we have over 1300 employees and have been named one of the UK's 'Best 100 Companies to Work For' for six consecutive years.
What we offer:
* Starting salary of £45,000 - £50,000 (dependent on experience)
* Generous holiday allowance increasing up to 31 days with service, plus bank holidays
* Casual dress code
* Discretionary bonus
* Contributory pension scheme
* Buy as you earn share scheme
* Enhanced maternity/paternity scheme from day one
* Bike loan
* Season ticket loan portal
* Discounted PMI and Dental
* On-site gym and personal trainer-led classes
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