CASS Manager London (GB)

LGT Wealth Management UK LLP is a UK-based partnership, wholly owned by the private banking group LGT, which is in turn owned by the Princely Family of Liechtenstein. When we set up LGT Wealth Management in 2008, our aim was to offer a fresh approach to wealth management. Alongside the LLP we also have two other entities which focus on US and Jersey based clients. Our head office is based in London however we have a presence in Edinburgh, Jersey, Leeds, Birmingham and Bristol. The plan was simple: put our clients first by providing a transparent service, designed around what is right for each of them. By drawing together in-depth knowledge and experience from across the industry, we provide a flexible, bespoke service adapted to each of our clients’ needs.
Our mission is to create long-term value for all stakeholders. Our culture encourages individuals to generate, develop and implement ideas which will strengthen our business. Belonging, respect, integrity, conviction and entrepreneurship are our core values. As our brand recognition grows, we are fast becoming an employer of choice in our sector. We have over £29 billion in funds under management and circa 700 staff.

Business Unit

The CASS Team ensures LGT continues to meet all of its regulatory responsibilities related to CASS for all FCA and JFSC regulated entities across the LGT Group. The team provides oversight of all CASS relevant controls and processes with CASS impacts, providing accurate and relevant management information in order to provide senior management with assurance that the firm has sufficient controls in place and that these controls are effective, monitored and challenged. 

Brief Role Objective:

Support the Head of CASS to ensure that the Firm is meeting all relevant CASS responsibilities. To maintain and strengthen the process and controls in keeping with a ‘continual improvement’ philosophy.

Key Responsibilities:

• Manage the maintenance of CASS governance documents; Rule Mapping, Risk register and Control Wording
• Ownership of two annual limited assurance CASS audits
• Day-to-day management of the full CASS audits
• Day-to-day management of ad-hoc internal audits
• CMAR production – liaise with various operational teams, collating data and drafting reports ahead of applicable deadlines for review and challenge by the Head of CASS
• Oversight of the CASS breaches register
• Oversight of the CASS RP
• Provide updates to the various Client Asset committees and working groups when required.
• Own and maintain all CASS Policies and Procedures
• Own the annual updates of all due diligence on banks and custodians
• Oversight of both internal and external client asset and money reconciliations; review shortfalls and reconciliation breaks
• Production of various MI for relevant stakeholders across the business
• Implementation and management of a CASS monitoring programme

Technical Requirements:

• Excellent knowledge of CASS rules.
• Minimum 5 years CASS experience.
• Degree educated.

IT:

• Strong MS Excel skills.
• Strong data manipulation skills
• Autorek, Figaro and Ruleguard experience is a plus but not mandatory

Other skills, competencies and attributes:

• Self starter that can use their initiative
• Attention to detail.
• Strong analytical skills.
• Strong interpersonal and communication skills.
• Ability to build a reputation of credibility