Senior CASS Oversight Analyst

7 days left

Recruiter
Hargreaves Lansdown
Location
Bristol, United Kingdom
Salary
Negotiable
Posted
14 Jan 2023
Closes
13 Feb 2023
Ref
18459249
Job Function
Accounting/Audit/Tax
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Excited to grow your career?

Our purpose is to 'empower people to save and invest with confidence'. We are looking for great people to join us, so please come and invest in YOUR future at Hargreaves Lansdown.

About the role

The Senior CASS oversight Analyst will support the CASS Oversight function holder to maintain and enhance CASS and EMR/PSR safeguarding compliance across the Hargreaves Lansdown group. Working flexibly and collaboratively to help maintain and develop our regulatory control environments and deliver positive outcomes for clients, colleagues and the business.

What you'll be doing

The CASS Oversight team support the Head of CASS Oversight. This role is accountable for supporting more senior members of the department with the following:

  • Support, coach and influence CASS Oversight analysts by sharing information and knowledge
  • Carrying out operational oversight activities over HL's systems and controls for maintaining CASS and Safeguarding compliance
  • Operating Quality Control processes to review work performed by other team members
  • Preparing, analysing & interpreting management information and reporting packs for the team's use and for governing bodies
  • Supporting SMEs, Managers, and Senior Managers with the management of the annual CASS audit process, including: receiving and responding to audit queries & reviewing data and information prior to submission to the auditor
  • Data gathering, reviewing and analysis to support oversight activities including management of incidents and queries and proposing solutions where applicable
  • Logging and escalating breaches and present breaches to senior management, committees and Boards as required
  • Logging reviewing proposed changes to frameworks, drafting proposals for approval by management


About you
  • Experience in financial services, in an area impacted by the CASS and/or EMR/PSR safeguarding regimes
  • Experience of working in a CASS controlled environment, and good knowledge of CASS 6, 7 & 8 rules
  • Strong numeracy skills, sound analytical/problem solving skills
  • Excellent organisation and time management skills
  • Ability to work in a team and autonomously
  • Proactive, resourceful and able to use initiative


Interview process

2 stage interview process; including a meet & greet and a competency-based interview.

Working Schedule

We are based in Bristol, BS1 5HL. This role is a permanent role and full time and we offer a hybrid flexible working pattern.

Why Us?

Here at HL, we're the UK's number 1 investment platform for private investors, based in Bristol. For more than 40 years we've helped investors save time, tax and money on their investments.

To achieve our mission, we believe we have a workplace like no other, with constant learning, dynamic teams, and a great ethos. We're steered by core values that promote service, quality, innovation, and opportunity in everything we do.

What's on offer?
  • Discretionary annual bonus & annual pay review
  • 25* days holiday plus bank holidays and 1-day additional Christmas closure time
  • Option to purchase an additional 5 days holiday per year
  • Flexible working options available, including hybrid working
  • Pension scheme up to 11% employer contribution
  • Sharesave scheme - have a real stake in HL's future
  • Income Protection & Life insurance (4 x salary core level of cover)
  • Health care cash plans - including optical, dental, and out patientcare
  • Help@hand and an Employee Assistance Programme
  • Gympass - gym memberships and wellbeing apps available
  • Variety of travel to work schemes with free bike storage and shower facilities
  • An inhouse barista serving subsidised coffee and snacks
  • Join HL's sports, I&D networks and volunteering groups (two paid volunteering days per year)
  • LifeWorks Discounts on services, restaurants and retailers
    * up to 30 days depending on role level & increasing with length of service


We know that sometimes people can be put off applying for a job if they don't tick every box. If you're excited about working for us and have most of the skills or experience we're looking for, please go ahead and apply. We'd love to hear from you!

Hargreaves Lansdown is an inclusive employer that values diversity in its workforce. We encourage applications from all individuals without regard to race, religion, gender, sexual orientation, national origin, disability or age.

This role may also be available on a flexible working or part time basis - please ask the Recruitment & Onboarding team for more information.

Please note, we are unable to provide employment sponsorship to candidates.