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TA Second Line CASS7 Specialist - City, London, United Kingdom, EC1A2


TA Second Line CASS 7 Specialist- London (Permanent)

A great opportunity has arisen for the position of a CASS 7 Specialist for a fast-growing and dynamic FinTech organisation. In this position you will be participating in the execution of the Company's Compliance Monitoring Plan as well as assisting in the delivery of the day-to-day compliance activities of the Company. This is a great opportunity for someone who is looking to progress their career and add real value to an exciting organisation.

Essential Duties and Responsibilities:

  • To undertake detailed Compliance Monitoring Reviews on the regulated activities of the Company and, in addition, carry out thematic reviews across the Company, identifying and recording issues arising from such work and pursuing them to resolution
  • To complete all related monitoring activity documentation including scoping document, terms of reference, draft and final monitoring reports and test scripts, all to a high standard.
  • To carry out additional monitoring activities as required
  • To ensure the Risk System is accurately and timeously maintained in relation to completed Monitoring Reviews
  • To ensure the actions agreed with management to remediate issues identified during monitoring reviews are followed up and appropriate evidence is obtained to give assurance that suitable controls have been applied
  • Act as main contact for external CASS audits and recording issues arising from such visits and pursuing them to resolution.

Knowledge and Experience:

  • Extensive knowledge of CASS and in particular CASS 7
  • Proven skills in producing and presenting monitoring reports of an exceptional standard to senior management
  • Ability to work to tight deadlines whilst ensuring the work undertaken remains to a high standard
  • Experience of reviewing reconciliations and associated documentary evidence
  • Excellent planning and prioritisation skills are essential
  • Effective and concise verbal and written communication skills are essential
  • Good knowledge of the English language and grammar
  • Good attention to detail