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 and due diligence, and more. We currently have £33bn Assets Under Management and are still growing.

This role is within Embark Corporate Services Limited, part of the Embark Group.


What you’ll do

As a CASS Analyst, 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 (where applicable); COBS rules and TCF principles. You will have oversight of our third-party suppliers to ensure our customers (Clients and Advisors) 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.
  • Monitor 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 Group CASS Executive 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.
  • Preparation of MI packs for CASS Committees, Boards, FNZ Oversight meetings.
  • Support the Head of Platform Oversight and Controls and Group CASS Executive through the creation, monitoring and analysis of internal controls across the business.
  • Prepare documentation as required in a timely manner for the annual CASS Audit along with any internal audit requirements.

Who you are and the experience we’re looking for

Delivering excellence is no easy task, particularly when you are transforming a business. So we’re looking for someone with the right experience and behaviours to join our team. The ‘DNA’ we look for starts with high proactivity and tenacity, the desire to deliver service excellence, attention to detail and a passion for both innovation and continuous improvement. As well as this, you will need to have:

  • Proven knowledge of CASS, specifically CASS 6, CASS 7, CASS 8 and CASS 10, preferably gained with auditor, regulator or within the asset management or banking industries.
  • Proficiency in using MS Office with advanced knowledge of Excel, including pivot tables, advanced formula creation, basic VBA an advantage.
  • Ability to analyse large data sets, with a hunger to find answers and build solutions. 
  • 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.
  • Experience in Financial Services administration, preferably using WRAP Platform technology.
  • Bachelor’s degree. Further professional qualifications, such as Investment Operations Certificate, J11. 

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. 


Our family of companies include:

The Adviser Centre – a free-to-air, online fund research and consultancy service, dedicated to helping financial advisers to assess, select and monitor suitable actively-managed funds from the whole of the market.

EBS Pensions Limited – developed over the last 20+ years into a leading SIPP and SSAS provider, with over 15,000 clients and £2.8bn assets under administration.

The Embark Platform – a low-cost retirement-focused platform for financial advisers built on cutting edge and market leading FNZ technology.

Hornbuckle – one of the UK’s leading independent specialist pension providers, Hornbuckle has excelled in self-invested pension provision for more than three decades.

Rowanmoor – the UK’s largest independent SSAS provider and a provider of bespoke SIPPs and Family SIPPs.

Vested – a collaboration between Embark Group and Mazars LLP. Together we bring the very best in employee benefits and workplace savings to small and medium sized employers (those with between 100 and 750 full time employees).

Embark Corporate Services – is the provider of centralised Corporate Support to the Embark Group. Our approach is simple, we provide excellence in service to support the Group in being a world class full-scale retirement solutions provider.

Horizon by Embark - offers five multi-asset portfolios designed to align with investor’s chosen risk profile.

Advance by Embark - Platform which is a digital solution supporting advisers who are delivering services to clients seeking to build their financial security for retirement.


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

Apply now and join us on our journey.

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


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