AVP CASS Quality Assurance
Salary: Market rate negotiable
- Location: London - Canary Wharf
- Category: Finance
- Job Ref: MH1111L4018
Summary
A Tier One investment bank is looking for a CASS QA to work within the Operations Regulatory Control team, which is responsible for ensuring that regulatory obligations are met by the Bank's Operations.
One of the streams within ORC is to ensure Clients assets are protected, money and custody, in line with the FSA requirements.
Responsibilities
· Conduct regular quality assurance reviews of CASS related processes and controls, which includes treatment of client money and client assets
· Identify gaps in processes and work with the business to remediate gaps and answer queries in order to ensure compliance with regulatory rules and where required, improve operational efficiencies
· Clearly document results of testing and action plans to remediate any issues
· Conduct risk & control assessments on Operations owned compliance issues and work with the business lines to maintain a robust regulatory control environment.
· Manage the daily BAU custody processes including governance around new accounts, reconciliations and reporting.
Experience / Skills
Experience required:
· Investment banking experience, specifically within the regulatory arena (CASS)
· Operational knowledge & experience of CASS rules
Skills and knowledge:
· Knowledge of CASS related rules
· Experienced in the use of Microsoft Office (specially Excel, Word and Power point)
· Investment Banking knowledge (preferred)
Candidate Profile:
· Excellent verbal and written communication skills
· Ability to identify, analyse and remediate issues/risks with the business by way of logical thinking and attention to detail.
· Ability to work independently and in a team environment.