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 well under pressure
About us
AJ Bell is one of the fastest-growing investment platform businesses in the UK offering an award-winning range of solutions that caters for everyone, from professional financial advisers, to DIY investors with little to no experience. We have over 542,000 customers using our award-winning platform propositions to manage assets totalling more than £86.5 billion. Our customers trust us with their investments, and by continuously striving to make investing easier, we aim to help even more people take control of their financial futures.
Having listed on the Main Market of the London Stock Exchange in December 2018, AJ Bell is now a FTSE 250 company.
Headquartered in Manchester with offices in central London and Bristol, we now have over 1,450 employees and have been named one of the UK's 'Best 100 Companies to Work For’ for six consecutive years.
At AJ Bell you can expect a friendly working environment with a strong sense of teamwork, we have a great sense of pride in what we do, and this is reflected in our guiding principles.
Our perks and benefits
- Starting salary of £45,000 - £52,000 DOE
- Starting holiday entitlement of 26 days, increasing up to 31 days with length of service
- Holiday buy and sell scheme
- A choice of pension schemes with matched contributions up to 7%
- Discretionary bonus scheme
- Annual free share awards scheme
- Buy As You Earn (BAYE) Scheme
- Health Cash Plan – provided by SimplyHealth
- Discounted private healthcare scheme and dental plan
- Free gym membership, with an on-site gym providing a wide range of free classes
- Employee Assistance Programme
- Bike loan scheme
- Sick pay+ pledge
- Enhanced maternity, paternity, and shared parental leave
- Discounted nursery fees at Kids Planet on Exchange Quay
- Loans for travel season tickets
- Death in service scheme
- Paid time off for volunteer work
- Charitable giving opportunities through salary sacrifice
- Calendar of social events, including monthly payday drinks, annual Christmas party, summer party and much more
- Parking at Exchange Quay
- Personal development programmes built around you and your career goals, including access to personal skills workshops
- Ongoing technical training
- Professional qualification support
- Talent management programmes
- Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off
- Monthly leadership breakfasts and lunches
- Casual dress code
- Access to a range of benefits from our sponsorship deals
Hybrid working
At AJ Bell, our people are the heart of our culture. We believe in building strong connections by working together. That's why we offer a hybrid working model, where you’ll spend a minimum of 50% of your working time per month in the office. For new team members, an initial period will be full-time in the office to help you immerse yourself in our business and build valuable relationships with your colleagues.
AJ Bell is committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and all employees are empowered to bring their whole self to work.
We do not discriminate on the basis of race, sex, gender identity, sexual orientation, age, pregnancy, religion, physical and mental disability, marital status and any other characteristics protected by the Equality Act 2010. All decisions to hire are based on qualifications, merit and business need.
If you like the sound of the above, or just want to know more about the company and the role, we'd love to speak to you.
