Role Description

To provide specialist support and advice on CASS matters within FNZ and contribute to the achievement of business objectives by assisting senior management and employees in understanding the key requirements of CASS.

Specific Role Responsibilities

CASS Oversight

• Providing CASS consultancy to stakeholders across the business.
• Challenging the business on CASS management policies and procedures.
• Working with the Head of CASS Oversight to ensure a strong CASS control environment across the business.
• Developing, with the Head of CASS Oversight daily/weekly CASS MI to alert senior management to CASS issues in a timely manner.
• Reviewing and developing CASS control framework and FRC CASS controls matrix
• Providing CASS technical input into new business initiatives/ propositions including new business risk assessments and on-boarding sign-offs.
• Representation of FNZ within client CASS forums and committees
• Ensuring that the CASS policies and procedures remain in line with FNZ’s regulatory activities in relation to CASS.
• Reviewing Risk events for potential CASS impact and working with the Head of CASS Oversight to ensure their mitigation.
• Working with management within the business to facilitate their understanding of CASS regulatory developments that may impact FNZ and ensuring that they are embedded into processes and controls.

• Assisting in the development and delivery of a suite of CASS training for a range of employees and senior management.

• Providing CASS technical input and challenge at the CASS Committee.

Managing Relationships

• Providing support and challenge to key business stakeholders in implementing FNZ CASS management reporting including developing a suite of relevant key risk indicators and responding to regulatory or internal change.
• Working with external and internal auditors during their CASS audits.
• Working closely with the Risk function to ensure CASS risk is adequately captured within the Global Risk & Control Framework.

Managing Process and Administration

• Advising and providing guidance to senior management and employees on CASS regulatory issues and their impact on product/service development and proposition developments.
• Evaluating the CASS regulatory risk exposure relating to new business activities.

Team working

• Sharing ideas to enhance cross-team learning and business development.
• Building and maintaining relationships with internal and external parties.
• Supporting the team’s efforts to succeed.
• Balance team and individual responsibilities.
• Exhibit objectivity and openness to others' views.

Maintaining operational and company standards

• Supporting the organisation’s goals and values.
• Encouraging and driving quality and continuous improvement of processes used across the business.
• Ensuring CASS practices are compliant with regulatory bodies’ expectations.

Personal Effectiveness

• Managing time effectively, personally and on behalf of others.
• Ability to prioritise and re prioritise work and manage service delivery targets within tight constraints.
• Taking ownership for workload and is proactive in approach.
• Strong communication skills, using appropriate language and style of communication that is relevant to the situation and circumstances to influence.
• Demonstrating sufficient self-awareness to identify personal strengths and areas for development.
• Ability to analyse and problem solve.
• Calm, reasonable and professional manner.
• Ability to work under pressure.
• Flexible to change, eager to improve and develop new skills

This role is in scope for activities which have a direct impact on CASS processing which takes place within FNZ for FNZ and/or FNZ’s clients. This role has a requirement to remain up to date with CASS developments and changes as communicated with FNZ

Experience required

• Excellent communication, relationship management and influencing skills.
• Ability to build and maintain effective internal and external relationships.
• Ability to analyse, present and report complex regulatory information to senior stakeholders in a clear and concise manner.

About FNZ

FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back. 

We created wealth’s growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution. 

We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA).

Together with our customers, we help over 20 million people from all wealth segments to invest in their future.