Exclusive – Head of CASS Oversight

Our client, a Global Brokerage firm, are looking to recruit a Head of CASS oversight to build and run the CASS framework and perform the CASS operational oversight function for an FCA-authorised investment firm that holds both client money and custody assets.

Main Responsibilities:

1. Own the firm's CASS framework and policy suite across CASS 6, 7, 7A, 8, 9 and 10 — including the breaches policy and underlying procedures — kept aligned to actual, not intended, practice.
2. Own internal and external client money reconciliations: frequency, methodology, evidencing, and funding any shortfall from the firm's own resources by the required deadline.
3. Manage client money implications of the dealing model — matched principal settlement flows, the DvP window, any reliance on the commercial settlement system exemption, and strict separation of house and client positions.
4. Design and deliver role-tailored CASS training and maintain awareness across all staff touching client money or assets.
5. Direct experience performing the CASS operational oversight function.
6. Hands-on ownership of a CASS framework at a firm holding both client money and custody assets, including reconciliations, custody record checks, breach identification, shortfall funding and remediation to closure.
7. The annual client assets audit under SUP 3.10 from the firm's side, including managing a qualified report through remediation.

Unless otherwise stated, candidates must have the right to work in the UK.

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