CASS Analyst

Are you keen to make a difference in a dynamic organisation? Do you have a passion for putting the customer at the centre of everything you do?

We’re a fast-paced, dynamic Group at the cutting edge of building safe and recurring value for all of our stakeholders. Our core areas include: bespoke pension solutions, wrap platform, independent financial advisory, investment consultancy, research, due diligence, and more. We currently have £34.6bn Assets Under Management and are still growing.

What you’ll do

You will play a pivotal role in monitoring, delivering and improving on the service we give to our clients. Key to success will be your ability to apply your knowledge and understanding of CASS rules to our business, as well as build and implement client money control frameworks across all of our platforms. You will have a desire to have end to end ownership, a focus on getting things right first time and a drive for continuous improvement.

Within this role you will be required to support the governance framework around the Embark Group platforms and oversee operational processes carried out by both out-sourced suppliers of these platforms to ensure the Embark Group and its subsidiary entities remain fully compliant with CASS and FCA rules along with TCF principles. 

You will have oversight of our third-party suppliers to ensure our customers can be confident Embark will continue to administer their investments correctly, with care and professionalism.

Key Accountabilities

  • Monitor and develop internal MI for use across the business, to monitor regulatory and business risks and requirements.
  • Preparation of regulatory reporting (CMAR) for CASS regulated business entities
  • Provide weekly and monthly reports to internal customers, including Finance and the Senior Management team, to evidence business volumetric and performance in conjunction with third party and internal service level agreements
  • Monitoring of internal SLAs with the business.
  • Develop, monitor and review prudent segregation regimes for CASS related entities
  • Monitor and review internal and external banking controls, including access levels, segregation of duties and approval mandates across all client bank account providers
  • Review of internal and external reconciliations of platform/client bank accounts for subsidiary businesses.
  • Review and support the Reconciliation of client assets held on platform, together with all transactional movements. 
  • Monitoring and analysis of external SLAs with third parties.
  • Supporting the CASS Manager with writing and review of CASS and non-CASS client money policies across different entities.
  • Escalate exceptions and issues to drive resolution through third party management, including conducting regular meetings with key owners of tasks that have an impact on client transactions within the Embark Platform
  • Support the implementation, monitoring and review of CASS risk controls across 2 CASS regulated entities.

Who you are and the experience we’re looking for

  • Proven knowledge of CASS, specifically CASS 6, CASS 7, CASS 8 and CASS 10
  • Bachelor’s degree along with further professional qualifications, such as Investment Operations Certificate (IOC)
  • Proficiency in using MS Office with advanced knowledge of Excel, including pivot tables, advanced formula creation, basic VBA an advantage
  • The ability to analyse large data sets, with a hunger to find answers and build solutions.
  • Experience in Financial Services administration, preferably using WRAP Platform technology.
  • Ability to work well within a team environment and build effective team relationships  
  • The confidence to challenge established processes and procedures in a constructive way
  • Good knowledge of SIPP & ISA rules and regulations
  • Proactive and inquisitive nature with the ability to innovate and challenge in support of the business model we are operating.
  • Exceptional client relationship skills, developed in technically complex environments.
  • Time management and prioritisation skills to plan and organise own work to deliver objectives. 
  • Experience of risk management and process monitoring preferably with a focus on an investment platform environment.   

Why join us

Our approach centres on four primary enablers: our expertise, access to leading technology, focus on consumers, and capital.

We believe in transparency and meritocracy; we want to give all of our people the opportunity to be the best they can be, sharing in our future success.

You will receive consideration for employment without regard to race, religion, gender, sexual orientation, national origin, disability or age.

Apply by the 19 March to join us on our journey.

Or, know someone who would be a perfect fit? Let them know!


BOLTON  ∙  View all open roles here ›

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