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Manager – CASS Assurance – Financial Services, London

Date: Sep 7, 2021

Location: London, United Kingdom

Company: KPMG UK

The Team:

Our Asset Management audit practice works with a variety of market leading firms ranging from some of the largest traditional asset management groups in the UK to the top five hedge fund managers in Europe; and from some of the largest private sector pension schemes and real estate investors in the UK. We have won a number of tenders in the last few years and expect to grow significantly in the next 3 to 5 years.

The CASS Audit team provide regulatory assurance services to assist leading organisations in the investment management sector. KPMG has a proven track record of helping clients in this area, and we have significant growth plans given the opportunities arising from increasing regulatory scrutiny, supervision and demand for external assurance.

Team members possess a variety of core assurance skills, and have considerable industry knowledge and specialist expertise of the UK regulatory environment.


The Role:

- Delivery of Limited and Reasonable Assurance CASS audit engagements, leading small sized teams and providing input to larger, multi-disciplinary teams.
- Overseeing all aspects of planning, executing, and reporting results of CASS audit, including managing the commercial efficiency and resource allocation at all stages.
- Providing of technical support and advice internally to KPMG teams in respect of CASS audits.
- Mentoring and coaching other less experienced team members, both on a technical expertise level and personal.
- Taking an active role in the preparation of proposal documents and tenders, organising client workshops and industry seminars and drafting marketing materials.
- Developing knowledge management and thought leadership and identifying new business and growth opportunities.
- Advising and assisting clients in understanding the impact of regulatory developments on existing processes and controls.
- Providing assurance over existing processes and advising clients on CASS issues.


The Person:

- Experience in CASS related function, including, but not essential, experience in performing external CASS audits.
- Strong knowledge of the FCA’s Regulations and Client Assets Sourcebook and ability to apply the rules.
- Strong understanding of businesses, structures, governance frameworks and process & control infrastructures of firms in the asset management sector.
- Strong stakeholder and relationship management skills and ability to develop and maintain strong internal and external network of contacts.
- Project management skills and ability to manage a team of professional staff.


Experience and Background:

- Professional qualification preferred, with strong knowledge of regulatory rules and guidance but crucially the practical application within the asset management industry.
- Significant and relevant financial services experience with a focus on the FCA’s Client Assets Sourcebook.
- Project management skills, demonstrated by a record of regulatory project delivery.
- The ability to evaluate technical issues, analyse facts, consult and deliver solutions to clients.
- Excellent communication and presentation skills; including an ability to communicate well with clients in writing and verbally.
- Understanding of regulatory developments and key current issues facing clients.
- Proven track record in working with teams to bring high quality deliverables to a range of stakeholders.


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