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Compliance Adviser (CASS)

London, United Kingdom
£45k - £60k
Closing date
Mar 10, 2023

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
We have an exciting opportunity to join the Compliance Department on a permanent basis to provide advice to the business on its' CASS obligations, undertake CASS related work and assist with the department's monitoring and CASS-related activities.

About Us

Transact is the leading independent investment wrap platform in the UK. Established in 2000, we have over £52.0 billion of funds under direction (as at December 2022) on behalf of over 7,600 advisers and 226,000 investor clients. Our service includes an online platform, owned and built by us, and dedicated regional adviser support to help bring clients' assets and investments together in a smarter, more tax efficient way. We offer access to a wide range of tax wrappers (including ISAs, pensions and life insurance investment bonds) and funds which advisers use to build client investment portfolios. Portfolio valuations, purchases and sales are all supported via Transact Online which is available 24/7. Transact's parent company, IntegraFin Holdings plc, is listed on the London Stock Exchange and is a constituent of the FTSE 250 index.

Role responsibilities include:
  • Provide support and advice to the business on matters relating to the CASS rules;
  • Undertaking CASS related work, such as completing due diligence reviews of third parties, reviewing and updating CASS related company policies and procedures, maintaining the CASS breach register and responding to queries received from the business, auditors, FCA and other third parties;
  • Delivering high quality and accurate regulatory advice and guidance in accordance with the standards expected by the Group
  • Providing input into the annual Compliance Monitoring Programme to help identify key areas for review;
  • Undertaking a range of monitoring activities including planning, testing, report writing, action planning and record keeping;
  • Presenting findings and reports including suggestions for relevant remedial actions, in a clear, accurate and consistent manner;
  • Giving guidance to stakeholders on the implementation of first line checking where required;
  • Identifying trends and root causes in all breaches and shortcomings; being proactive and collaborative with line management to make relevant changes to policies, procedures and working practices;
  • Providing relevant, accurate and timely MI in a format which is clear and engaging, in particular by helping to compile the quarterly Compliance Monitoring reports and quarterly board reports;
  • Carrying out ad-hoc checks as required;
  • Maintaining accurate records of the reviews that are undertaken and the findings.
  • Deputising for the CASS Compliance Manager in times of absence and by providing day to day support to and guidance for other team members within Compliance;

Who we're looking for

The successful candidate will have at least two years experience working in a compliance related role with exposure to CASS, will have an excellent attention to detail and be well organised and able to work to tight deadlines. They will have excellent IT skills and be an expert at using Excel. They will also have the ability to work independently and as part of a team. You should be vigilant and of a questioning nature to identify discrepancies during monitoring.

Equal Opportunities

We provide a diverse and inclusive workplace and ensure that all of our staff respect and understand individual differences. We are an equal opportunities employer and positively encourage applications from suitably qualified and eligible candidates regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, religion or belief, sex or sexual orientation.

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