Cass Auditor

  • Location:

    London, England

  • Sector:

    Internal Audit

  • Job type:


  • Salary:


  • Contact:

    Ben Barakauskas

  • Job ref:


  • Published:

    6 months ago

  • Duration:

    6 Months

  • Expiry date:


  • Startdate:


The primary role is to act as a subject matter expert on the Financial Conduct Authority's Client Assets Sourcebook (CASS) regulations, and how these apply to the business and operations, across a wide range of clients including banks, asset management firms, brokers, spread betting firms, insurance intermediaries.

Primary function will be:
* Lead, manage and deliver CASS specific internal audit reviews of the business and operations impacted by CASS.
* Ensure that CASS regulations, risks and controls are appropriately covered in the Audit Plan,
* 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
* Keep up-to-date with development of the CASS regulations and their application to the business, product, services offered by clients.
* Provide CASS specific direction and updates to clients.
* Provide input to and deliver CASS training.
* Deliver other non-CASS related audit reviews such as AML, KYC.

The person:
Individual must be fully conversant with Client Assets Sourcebook (CASS).
* Excellent understanding of CASS regulatory requirements.
* Proven track record of managing and delivering risk based internal audit reviews.
* Good general knowledge of the financial services industry and its regulations and laws.
* Detailed understanding of Operational areas impacted by the CASS Rules
* Experience of dealing with and presenting to senior management.
* Effective verbal and written communications, including active listening skills and ability to present findings and recommendations.


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