Exclusive – Head of CASS Oversight

Our client, a Global Brokerage firm, are looking to recruit a Head of CASS oversight to build and run the CASS framework and perform the CASS operational oversight function for an FCA-authorised investment firm that holds both client money and custody assets.

Main Responsibilities:

• Own the firm’s CASS framework and policy suite across CASS 6, 7, 7A, 8, 9 and 10 — including the breaches policy and underlying procedures — kept aligned to actual, not intended, practice.
• Own internal and external client money reconciliations: frequency, methodology, evidencing, and funding any shortfall from the firm’s own resources by the required deadline.
• Manage client money implications of the dealing model — matched principal settlement flows, the DvP window, any reliance on the commercial settlement system exemption, and strict separation of house and client positions.
• Design and deliver role-tailored CASS training and maintain awareness across all staff touching client money or assets.
• Direct experience performing the CASS operational oversight function.
• Hands-on ownership of a CASS framework at a firm holding both client money and custody assets, including reconciliations, custody record checks, breach identification, shortfall funding and remediation to closure.
• The annual client assets audit under SUP 3.10 from the firm’s side, including managing a qualified report through remediation.

Unless otherwise stated, candidates must have the right to work in the UK.

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