The CASS Oversight Officer will be responsible for ensuring on-going adherence to the CASS rules in the capacity of FCA Client Asset Oversight Function (CF10a/SMF22). They will also be responsible for the timely and accurate completion of CASS related regulatory reporting (e.g. Client Money and Asset Return) to the regulator.


  • Act as the principal liaison between the firm and the FCA on all matters relating to CASS.
  • Liaise with key internal (e.g. legal, risk, compliance) and external (regulators, auditors) stakeholders as required on CASS matters
  • Develop and update CASS-related policies and ensure effective implementation firm-wide to include the CASS resolution pack
  • Take initiatives to strengthen existing and implement new systems and controls to improve operational efficiency and reduce the incidence of errors and breaches, specifically CASS related
  • Keep up to date with the regulation and industry best practices as they pertain to CASS and CASS compliance and lead the planning and amendments of CASS policies and procedures
  • To manage the annual audit and co-ordinate responses to auditor findings
  • To lead the firm’s CASS Committee and set the tone of the firm’s compliance with CASS obligations
  • Report to senior management to ensure that they are fully appraised of CASS compliance and CASS related issues
  • Ensure the ongoing training and development of staff in relation to CASS, to maintain awareness and accuracy under the CASS rules


  • Degree educated with up to date training and proven track record of CASS projects
  • Working knowledge of CASS
  • CF10a - either current or previously held (preferable)
  • Background in UK compliance and/or UK financial regulation
  • Experience presenting complex and technical issues to senior management
  • Excellent attention to detail
  • Excellent written and verbal communication skills
  • Ability to prioritise tasks and produce a long-term plan

Our commitment

Over and above a competitive salary and benefits package, we offer a challenging and rewarding working environment where every employee is part of the team. You will be encouraged to make a tangible difference towards our overall strategy and be rewarded for your achievements. If you're the kind of person that wants to push your own personal boundaries and explore what is possible, then we'd very much like to hear from you.

Contact [email protected] for the full job specification, including details of rewards and benefits. Applications can also be forwarded to [email protected].