CASS Associate

About us

The Titan Group provides a broad range of services across the whole wealth value chain – from financial planning, investment management through to platform, trading, settlement and custody services. Its strategy is to be able to offer modular, incremental services to its clients allowing them to adjust their business models as and when they choose to.  As part of this Titan is also an active acquirer of UK based asset managers and other wealth related businesses.

Titan Private Wealth is a well-established independent investment management business who provide portfolio management and stockbroking services to private clients.  With full in-house back office, research and support teams, Titan Private Wealth are committed to providing an exceptional level of service to our clients which is achieved by developing long-term and trusted relationships. Titan Private Wealth our investment management arm, recently rebranded from Cardale, founded in 2003 and based in Harrogate.

We are interviewing for this role mid-January 2025, with the aim of hiring from February 2025 onwards (depending on notice period).

The CASS Associate will report to the CASS Oversight Manager at TPW. The role will provide crucial day to day support to staff based in Harrogate and will support the CASS Manager and wider Group with any CASS related initiatives or projects. As the business continues to grow the regulatory demand increases, having support in this area would enable the firm to have adequate resource to strengthen the CASS framework and support the ongoing maintenance and performance of CASS controls.

The primary objective of the role is to assist the CASS Manager with administration and supporting the implementation of enhancements to the CASS control framework, this ensures the firm can meet its regulatory requirements as set out within the FCA Handbook. The role holder will perform tasks such as the maintenance of the CASS Resolution Pack, supporting the administration of the annual external CASS audit, collation of the monthly CMAR to be submitted to the FCA and breach reporting.

• External CASS audit support
• Incident reporting for CASS Management review, ensuring corrective actions and mitigating controls have been documented
• Day to day support for operational issues, ensuring where necessary these are escalated to the CASS Manager
• Preparation of the CASS policies and procedures to align to Group standards
• CASS Risk and Controls mapping management
• Independent assurance reviews on key CASS Controls
• Support the CASS Manager in promoting CASS awareness across the business
• Assisting with the preparation of the CASS training sessions delivered to the business
• Ongoing maintenance of the CASS Resolution Pack, ensuring attestations are completed in a timely manner
• Assist with the preparation of the monthly CMAR submission to the FCA
• Project support and independent CASS testing
• Supporting the IT change management structure, ensuring the key controls in operation are adhered to

• Experience in an Operations/CASS role within a financial service custody and clearing business.

• Good understanding of the FCA CASS Handbook, primarily CASS 6 & CASS 7 rules, although ongoing training will be provided by the CASS Manager.
• Good communication skills and can effectively relay technical information to Management
• A detail oriented person, able to deliver tasks with a good degree of accuracy
• Excellent interpersonal skills, with the ability to build relationships across the business
• collaborate with internal departments.
• Analytical and problem-solving skills with the ability to assess complex scenario’s and make recommendations for enhancements
• Ability to challenge the business on existing processes and controls, ensuring these meet regulatory requirements.

Our employees are talented people, distinguished by excellence.  You will be able to demonstrate a willingness to embrace the Company values of:

Professionalism - how we treat our clients and colleagues.

Trust - embrace innovation and adapt to change.

Innovation - dare to create and don't fear failure.

Terms

Competitive salary

Hybrid working

25 days annual leave + public holidays

A range of benefits which includes private medical insurance, Group life insurance, and income protection insurance.

6% employer pension contribution

Further education and training support

Discretionary performance related bonus

Confidential Employee Assistance Programme

2 days per year for voluntary work

“Salary Extras” employee discounts

The Titan Wealth Group is firmly committed to fostering an inclusive and equitable environment for everyone who works with us, regardless of their race, age, gender, sexual orientation, religion, physical ability or disability, or political affiliation. We believe that having a diverse team allows us to create the best possible outcomes for our clients and team members. We strive to provide equal opportunities in all aspects of the workplace with respect to recruitment and career advancement, pay and benefits, training and development opportunities and other job-related activities.