This is a fantastic opportunity to grow your career in the CASS Governance & Oversight team, which focuses on the design and implementation of the oversight framework for CASS rules requirements within the Commercial and Investment Bank (CIB), ensuring that the CIB’s Client Asset Oversight Officer (CAOO) and relevant Senior Management Functions (SMFs) are able to fulfill their regulatory responsibilities. The team works closely with Operations, Business, and Product Management, spanning all lines of business across the In-Scope Legal Entities. In addition, the team partners with Compliance, Audit, and Risk.

As a CASS Governance & Oversight Breach Management - Senior Associate in the CASS Governance & Oversight team, you will be responsible for supporting the UK CASS breach management, identification, and resolution process. You will also be actively involved in all the tasks the team executes around the design, implementation, and oversight of the governance frameworks that ensure the CIB is able to comply with UK client asset rules set by the Financial Conduct Authority (FCA).

Job responsibilities

• Oversees the identification, investigation, and resolution of CASS breaches, ensuring timely reporting and implementation of corrective measures.
• Chairs regular potential CASS breach assessment calls and documents outcomes.
• Develops and maintains breach management protocols, providing guidance and support to prevent future occurrences.
• Provides regular metrics to CASS Accountable Managers on open breaches and control observations.
• Leads strategic initiatives and deep dives (root cause analysis) to enhance operational efficiency, regulatory compliance across the businesses, and reduction of CASS breaches.
• Collaborates with internal and external auditors to address findings and implement corrective actions to enhance compliance and control frameworks.

Required qualifications, capabilities, and skills

• Strong organizational skills, attention to detail and ability to manage and prioritize effectively
• Strong communication skills – both verbal and written
• Excellent negotiation and influencing skills and ability to drive change
• Ability to multitask in a fast paced environment and to work under pressure to set deadlines

Preferred qualifications, capabilities, and skills

• Knowledge of the various components of the CIB (e.g. how its various functions and businesses are organized) and the CASS rules