CASS Breaches, Audit and Training Vice President

JP Morgan

Location: Dorset

Job Type: Full time


This is a unique opportunity to join an established but expanding team who are responsible for the governance and oversight of a number of J.P. Morgan's legal entities in relation to the Financial Conduct Authority's (FCA) Client Asset (CASS) regulations.

As the CASS Breaches, Audit and Training Vice President you will be primarily responsible for the oversight of the breach management process and annual external CASS audit, production of CASS training and management of ad hoc CASS focused projects. You will be a part of the CASS Governance & Oversight and UK Outsourcing Governance team who are responsible for the design, implementation and oversight of the governance frameworks that ensure that the Corporate and Investment Bank (CIB) is able to comply with UK client asset rules set by the FCA's and outsourcing requirements set by the Prudential Regulation Authority (PRA). In this role you will be involved in the tasks related to design and implementation of the oversight framework for CASS rules requirements within the CIB, ensuring the CIB’s Client Asset Oversight Officer (CAOO) and relevant Senior Management Functions (SMFs) are able to deliver on their regulatory responsibilities. You will work closely with Operations, Business and Product Management spanning all lines of business across the In-Scope Legal Entities. In addition, you will partner with Compliance, Audit and Risk.

Job responsibilities

  • Manages breaches - including reporting on potential breaches and supporting lines of business with remediation
  • Coordinates the annual external CASS audit and any other scheduled internal audits/compliance testing
  • Develops and provides relevant CASS training to lines of business, senior management and board members as required
  • Manages the CASS Resolution Pack, including reoccurring testing of documentation being provided by relevant business lines and the maintenance of the master documents
  • Identifies and manages any ad hoc CASS tasks or projects when required
  • Oversees the day to day people management of the CASS Governance & Oversight Breaches, Audit and Training team
  • Builds strong and collaborative relationships with key stakeholders in the business and operations

Required qualifications, capabilities, and skills

  • Deep understanding of UK CASS rules and their application
  • Strong communication skills – both verbal and written
  • Excellent negotiation and influencing skills and ability to drive change
  • Strong organizational skills, attention to detail and ability to manage and prioritize effectively
  • Attention to detail with the ability to succinctly communicate requirements / actions
  • Ability to multi task in a fast paced environment and to work under pressure to set deadlines
  • Highly motivated, intuitive and possess initiative to identify potential process improvements across all business areas
You’ve got this!