• CASS Compliance Analyst

    Job Locations UK-Edinburgh
    # of Openings
    Risk and Compliance
    Position Type
    Permanent Full-Time
  • Role Description

    To carry the 2nd line CASS management oversight process within FNZ and contribute to the achievement of business objectives by assisting senior management and employees in understanding the key requirements of CASS and any regulatory developments relating to CASS.



    To assist Risk & Compliance involvement in the Change Release Board.


    CASS Risk & Compliance Oversight

    • Providing CASS consultancy on behalf of Risk & Compliance.
    • Challenging 1st line business and Office of the CF10a on CASS management policies and procedures.
    • Working with the Head of Reconciliations & Quality Assurance, and the Head of CASS & Controls (CF10a) to ensure strong first line of defence CASS quality assurance within Operations.
    • Providing Risk & Compliance input into new business initiatives/ propositions including providing Compliance input into new business risk assessments and on-boarding sign-offs.
    • Ensuring that the Risk & Compliance policies and procedures remain in line with FNZ’s regulatory activities in relation to CASS.
    • Providing support to the Compliance Monitoring Plan in relation to CASS, signing off CASS test scripts, and reviewing and signing off monitoring reports relating to CASS.
    • Planning and undertaking detailed Compliance Monitoring Reviews on CASS where required and undertaking high frequency CASS monitoring.
    • Reviewing risk events, confirming rule references in relation to CASS, advising, as required, on action to be taken to rectify any CASS breaches and assisting in identifying trends.
    • Assisting the Office of the CF10a in the development and maintenance of a suite of CASS training for employees, management and approved persons.
    • Providing CASS training for Risk & Compliance as required; and supporting the Office of the CF10a in delivery of CASS training to the wider business.
    • Providing independent CASS Compliance input and challenge at the CASS Committee.
    • Providing independent CASS reports, where required, to the UK Board, on behalf of the Global Head of Risk & Compliance.
    • Represent Risk & Compliance at client CASS governance forums and other relevant Compliance forums where required.


    CASS - Regulatory Change Management

    • Overseeing any CASS regulatory developments that impact FNZ or its platform offerings.
    • Providing impact analysis on CASS regulatory changes as required.
    • Working with the CF10a and management within the business to facilitate their understanding of CASS regulatory developments that may impact FNZ and ensuring that they are imbedded into processes and controls.
    • Ensuring that CASS regulatory changes are notified to the CASS Committee and are tracked there as required.


    Managing Relationships

    • Providing support and challenge to key business stakeholders in managing CASS risks and issues within the business.
    • Working with the Office of the CF10a to coordinate external CASS audits for both FNZ and its clients.
    • Working closely with the Risk function to ensure CASS and regulatory change 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 management 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 key business objectives whilst maintaining regulatory compliance.
    • Encouraging and driving quality and continuous improvement of processes used across the business.
    • Ensuring practices are compliant with regulatory bodies’ expectations.


    Personal Effectiveness

    • Ability to prioritise work and manage service delivery targets within tight constraints, maintaining flexibility in respect of shifting business priorities.
    • 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.

    Experience Required

    • Experience in a similar role within financial services
    • Understanding of the CASS source book
    • Stong stakeholder management skills
    • Experience working within a compliance environment in a monitoring capacity

    About FNZ

    FNZ is a global financial technology and asset servicing provider which powers the wealth management, administration and custodian platforms for some of the world's leading financial institutions. These customers include life insurers, retail and private banks, asset and wealth managers and financial adviser groups based across the UK, Europe, Asia, Australia and New Zealand.


    We believe that enhancing client engagement, lowering costs, delivering a seamless service and enabling personal solutions are key to helping people achieve their financial goals. We partner with major financial institutions to enable them to provide wealth management services to their clients across direct, intermediated and workplace channels that reflect these principles.


    We develop long-term partnerships with our customers to enable them to get to market quickly with a market-leading digital proposition, transform their customer service offering and grow assets under management across multiple distribution channels.


    Our customers include AMP, ANZ, Aviva, AXA Wealth, Bank of New Zealand, Fideuram Vita, HSBC, Mercer, National Australia Bank, HSBC, Santander, Santander Asset Management, Standard Life, UBS and Zurich.  In all we partner with 42 institutional customers worldwide. 


    FNZ employs over 1,000 people with offices in Edinburgh, London, Bristol, Brno (Czech Republic), Shanghai, Hong Kong, Singapore, Sydney, Melbourne and Wellington.


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