FCA
Financial Services
CASSSupervisionSeniorAssociate
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optimal for Senior candidates.
“CASS Supervision Senior Associate at FCA. Skills: CASS, Safeguarding, Client Assets Sourcebook, Regulatory compliance. Oversee the implementation of CASS 15 Safeguarding rules. Apply expertise in CASS, safeguarding, and payments to resolve complex queries”
What You'll Achieve.
Ensure firms adopt robust client protection frameworks that safeguard customer assets and improve compliance with regulations; Help ensure fair, consistent, and high-quality regulatory outcomes; Protect consumers and maintain market integrity; Enable early intervention and improved firm behaviours; Deliver meaningful regulatory outcomes across the sector
Industry & Context.
Resolve complex queries; Identify, prioritise, and mitigate CASS/ Safeguarding risks; Analyse audit reports, breach notifications, and firm data to identify non-compliance trends
What They're Looking For.
Must Have
Prior experience within CASS/Safeguarding, Demonstrable experience of providing CASS oversight or payment oversight, Prior experience working within financial services, as a CASS auditor or a similar regulated firm, Sound judgment and the skill to identify, prioritise, and mitigate CASS/ Safeguarding risks, including those arising from new business models and from firms that are failing or at risk of failure, Ability to communicate subject matter clearly, professionally and with credibility to all levels of staff and stakeholders (both internal and external to the organisation), Demonstrable delivery capability with the ability to prioritise and manage multiple workstreams to tight deadlines, Resourceful: delivers greatest public value for our money - constantly looks for improvement opportunities in relevant processes to produce better, quicker, or more cost-effective outcomes
What You'll Do.
Oversee the implementation of CASS 15 Safeguarding rules
Apply expertise in CASS
and payments to resolve complex queries
Exercise informed supervisory judgement
Take full ownership of event driven cases
managing them at pace from start to finish
risk based interventions
Analyse audit reports
and firm data to identify non-compliance trends
Escalate key risks to enable early intervention and improved firm behaviours
evidence based judgements on firm issues
Manage or support strategic supervision of large firms
How You'll Work.
Team & Collaboration
Communicate subject matter clearly, professionally and with credibility to all levels of staff and stakeholders (both internal and external to the organisation)
Communication Scope
Communicate subject matter clearly, professionally and with credibility to all levels of staff and stakeholders (both internal and external to the organisation); Communicate sound, evidence based judgements on firm issues clearly and concisely
Process & Methodology
Ability to prioritise and manage multiple workstreams to tight deadlines
Full Job Description
**Job title:** CASS Supervision Senior Associate **Division:** Supervision, Policy and Competition **Department:** Resolution Strategy, Operations & CASS (ReSOC) * **Salary:** National (Edinburgh and Leeds) ranging from £53,800 to £62,7333 and London £59,200 to 69,000 per annum (Salary offered will be based on skills and experience) * **This role is graded as:** Associate, Regulatory * **Your external recruitment contact is** Shafika via [[email protected]](mailto:[email protected]) * **Your internal recruitment contact is** Isabelle via [[email protected]](mailto:[email protected]). * Applications must be submitted through our online portal. Applications sent via social media or email will not be accepted. **_About the FCA and team_** We regulate financial services firms in the UK, to keep financial markets fair, thriving and effective. By joining us, you’ll play a key part in protecting consumers, driving economic growth, and shaping the future of UK finance services. SPC oversees firms and individuals (supervision), creates and reviews the rules by which they operate (policy) and identifies and remedies ineffective competition in markets (competition). Sitting within the Specialist Directorate, the Resolution Strategy, Operations & CASS (ReSOC) department leads the FCA’s efforts to enhance client asset protection -thereby boosting consumer protection and market integrity -through risk assessment, data analysis, and supervision of firms’ compliance with the Client Assets Sourcebook. **_Role responsibilities_** * Oversee the implementation of CASS 15 Safeguarding rules, ensuring firms adopt robust client protection frameworks that safeguard customer assets and improve compliance with regulations * Apply your expertise in CASS, safeguarding, and payments to resolve complex queries and exercise informed supervisory judgement, helping ensure fair, consistent, and high-quality regulatory outcomes * Take full ownership of event driv
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