AJ Bell is hiring a
CASS Audit Lead

Summary

Join AJ Bell as a CASS Audit Lead and lead and coordinate external CASS audits, ensuring audits are delivered in accordance with the audit plan. The successful candidate will have strong CASS understanding and knowledge, previous audit/CASS audit experience, and excellent problem-solving and decision-making skills.

Requirements

• Strong CASS understanding and knowledge, particularly of chapters 6, 7, 8 & 10 of the CASS handbook
• Previous audit/CASS audit experience
• Strong planning and organisation skills
• The ability to effectively manage cross-functional teams and co-ordinate work to be undertaken by different teams and departments
• Experience working with Microsoft Office, including Excel, Word and PowerPoint
• Excellent problem solving and decision-making skills with the ability to compile and evaluate data for decision making
• Excellent communication skills both verbal and written

Responsibilities

• Understanding in detail how CASS applies to AJ Bell group entities, including CASS governance and the controls in place to ensure client money and assets are segregated and protected
• Responsible for managing external audits from planning through to fieldwork, testing, reporting and closure
• Managing inter-dependencies between CASS and Statutory audits
• Working closely with external audit teams and internal business areas to ensure audit work is managed efficiently and effectively from start to finish
• Planning and facilitating audit walkthroughs with external auditors and internal business areas. Providing CASS technical support as required
• Taking ownership of and managing sample requests from auditors, liaising with business areas to provide relevant evidence
• Performing a final quality review of audit evidence before submission to the auditor
• Monitoring overall progress of the audit and resources, highlighting inefficiencies, risks and issues
• Preparing and maintaining appropriate management information, including status reports and end-stage assessments
• Action tracking and reporting
• Production of a quarterly aggregated breach schedule report, including rule mapping
• Identifying areas for improvement and proactively making recommendations for change

Benefits

• Starting salary of £45,000 - £52,000 DOE
• Starting holiday entitlement of 26 days, increasing up to 31 days with length of service
• Holiday buy and sell scheme
• A choice of pension schemes with matched contributions up to 7%
• Discretionary bonus scheme
• Annual free share awards scheme
• Buy As You Earn (BAYE) Scheme
• Health Cash Plan – provided by Medicash
• Discounted private healthcare scheme and dental plan
• Free gym membership, with an on-site gym providing a wide range of free classes
• Employee Assistance Programme
• Bike loan scheme
• Sick pay+ pledge
• Enhanced maternity, paternity, and shared parental leave
• Discounted nursery fees at Kids Planet on Exchange Quay
• Loans for travel season tickets
• Death in service scheme
• Paid time off for volunteer work
• Charitable giving opportunities through salary sacrifice
• Calendar of social events, including monthly payday drinks, annual Christmas party, summer party and much more
• Parking at Exchange Quay
• Personal development programmes built around you and your career goals, including access to personal skills workshops
• Ongoing technical training
• Professional qualification support
• Talent management programmes
• Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off
• Monthly leadership breakfasts and lunches
• Casual dress code
• Access to a range of benefits from our sponsorship deals