Graduate Associate CASS

Page Personnel Finance ,
London, Greater London
More Details
Job Type: Full-time
Salary: £30,000 per annum

Overview

The team consists of nine energetic colleagues and may suit a graduate with work experience who is keen to grow and develop their skills within Risk, with particular focus on CASS. The client are looking for someone with excellent technical ability in Excel, who can display high levels of motivation, flexibility and a willingness to learn. Client Details The client specialises in helping clients protect and grow their wealth by creating financial plans and investment portfolios that meet personal and professional ambitions. Their services range from bespoke, discretionary investment management to retirement planning and tax-efficient investing. Description CASS Risk and Control Framework ('CORF') Managing the change requests for data held within the CASS Control Framework, risk and control assessment and the feedback into 1LOD and 2 LOD of the change related impact assessment Assist with the quarterly attestation process, collating and addressing responses from Function control owners Partner with Legal, Risk and Compliance and first line of defence functions to QA and enhance key CASS controls Assist CASS Oversight Team Management in the monitoring of MI to identify key risk themes Breaches and MI Review CASS related operating events, assess provided information, updating BD's breach register to audit ready standard Perform trend analysis to identify themes or issues to be investigated further. Produce relevant Management Information for Governance Committees highlighting breach themes or issues CASS Quality Assurance Where appropriate, assist with the performance of the onsite Quality Assurance testing and control substantiation programme to identify and address control weaknesses in the 1LOD processes and systems, designed to ensure compliance with CASS CASS Resolution Pack Maintain and update the Firm's CASS Resolution Pack, ensuring it is up to date and accurate within regulatory deadlines Perform the monthly attestation process, collating and addressing responses key document retrieval owners Oversight Assist with oversight on CASS-specific processes (i.e. CMAR, reconciliations) and where required identify breaches or issues and escalate accordingly. Assist with production of Management Information to support oversight activities, including monthly CMAR pre-submission review Profile Skills Prior relevant industry experience in for example Compliance, Risk, Audit would be desirable, but not essential. Advanced Microsoft Excel skills with experience of producing analysis of large volumes of data Demonstrates good technical knowledge of regulations, and of business processes and procedures relevant to role. Communicates professionally with stakeholders, building positive relationships. Passion for continuous improvement. Ability to work under pressure and meet deadlines. Qualifications Educated to degree level or equivalent About you We are looking for people with not only the right skills, but those who demonstrate our values in how they approach their work and colleagues Genuine - Shows empathy and understanding for the needs of clients and colleagues. Team worker demonstrating trust, respect and integrity. Expert - Applies skills and knowledge to achieve objectives and makes the complex simple. Brings together the right people and grows expertise to get the best results for clients. Seeks continuous improvement. Ambitious - Works hard to be at their best. Embraces change for the better. Strives to do the best for clients and colleagues. Job Offer £30,000 to £40,000 Discretionary bonus 25 days holiday Double matched pension Qualification support

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