CASS Audit Lead

Job Description

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?

• 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.
• Understanding the firm’s systems and IT controls that supports the firm’s adherence to CASS.
• Responsible for managing external audits from planning through to fieldwork, testing, reporting and closure.
• Managing inter-dependencies between CASS and Statutory audits.
• Working closely with external audit teams and internal business areas to ensure audit work is managed efficiently and effectively from start to finish.
• Planning and facilitating audit walkthroughs with external auditors and internal business areas. Providing CASS technical support as required.
• Taking ownership of and managing sample requests from auditors, liaising with business areas to provide relevant evidence.
• Performing a final quality review of audit evidence before submission to the auditor.
• Monitoring overall progress of the audit and resources, highlighting inefficiencies, risks and issues.
• Preparing and maintaining appropriate management information, including status reports and end-stage assessments.
• Action tracking and reporting.
• Production of a quarterly aggregated breach schedule report, including rule mapping.
• Identifying areas for improvement and proactively making recommendations for change.

In addition, support the firm’s wider CASS function by:

• Providing regular audit status updates to CASS Forum and other forums and committees
• Undertaking root cause and trend analysis to enable the production of MI
• Providing support and assisting in the delivery of training to operational teams
• Supporting change initiatives, assessing the impact on CASS processes
• Representing the CASS team in relevant discussions and meetings

What you'll have

• Strong CASS understanding and knowledge, particularly of chapters 6, 7, 8 & 10 of the CASS handbook.
• Previous audit/CASS audit experience
• Strong planning and organisation skills
• The ability to effectively manage cross-functional teams and co-ordinate work to be undertaken by different teams and departments
• Experience working with Microsoft Office, including Excel, Word and PowerPoint
• Excellent problem solving and decision-making skills with the ability to compile and evaluate data for decision making
• Excellent communication skills both verbal and written
• Good understanding of financial services
• The ability to work …