› This role is in the regulatory operations team to support the CASS Governance Infrastructure and control framework.
› Significant support of the audit and review processes as well as periodic deep dives initiated within the group for functions across the company.
› The maintenance of the CASS control framework; RCSA, Applicability Matrix, related Gap analysis and remediation and communication of necessary structural changes
› Support in the preparation related to compliance of CASS 7A – Distributions to Clients
› Monitoring of "Mandates" under CASS 8
› Monitoring of "Information to Clients" under CASS 9; including evaluation of SIEL statement functionality.
› Contribute in the periodic reviews of other CASS functions (Custody, Client Money and RRP)
Responsibilities include but are not limited to:
› Supporting the Senior CASS officer with External and Internal Audits, Compliance Reviews and any other reviews of the SIEL CASS infrastructure.
o Assist with the Data gathering and preparation for internal and external audits. Monitor, track and review requested documents and evidence collaborate in preparing teams for audit as appropriate.
o Managing the provision of documentation, testing material, arranging meetings, preparing analyses in response to findings and management letter points.
o Track and support the resolution of previous audit actions, preparing documentation and evidence as appropriate.
o Assist in the implementation of any remediation and ensuring, no overdue actions.
› Assisting the Senior CASS officer in the ongoing development of the CASS Support Training Structure – development and making CASS training presentations.
› Monitor breaches and assess impact, root-cause analysis and remediation action as necessary, maintain and monitor breach register and related Risk Reporting (Accelerate) ie daily monitoring of Accelerate items related to CASS and regulatory operations.
› Assist in developing a structure that documents the firms adherence with the CASS rules for all of the rule book that applies. Create a program of maintenance and review for the material.
› Monitor changes to CASS rule book and asses impact to SIEL Infrastructure.
› Keep Current – (market conditions, regulations, SEI products and services, etc) and maintain ongoing and effective communication and alignment of these with client business practices;
› Participate in CASS training of others with respect to the functions within SIEL in line with relevant programs;
› Any other ad-hoc projects as required.
› Adhere to all relevant FCA requirements and compliance.
Technical Capabilities/Skills & Experience Required for the Role:
› Degree (or equivalent) calibre with credible regulatory experience from an investment banking, wealth management or private banking industry;
› Good level of understanding CASS rules and requirements.
› Knowledge of industry dynamics, business strategies, products and operating platforms would be advantageous;
› CASS Audit experience, Audit of Investment Banks or Investment Management Firms would be beneficial
› Ability to work independently and under own initiative.
› Proficient Word, Excel, Access and Outlook skills, with demonstrated experience in the development and maintenance of databases to analyse large amounts of information.
› Strong communication skills.
› The ability to work well within a team.
› Strong dedication to quality customer service;
› Excellent verbal and written communication skills; exceptional interpersonal skills/team player;
› Ability to work in a busy and changing environment;
› Excellent organisational and problem solving skills; influencing and negotiation skills.
SEI (NASDAQ:SEIC) is a leading global provider of investment processing, investment management, and investment operations solutions that help corporations, financial institutions, financial advisors, and ultra-high-net-worth families create and manage wealth. As of December 31, 2015, through its subsidiaries and partnerships in which the company has a significant interest, SEI manages or administers $670 billion in mutual fund and pooled or separately managed assets, including $262 billion in assets under management and $408 billion in client assets under administration. For more information, visit seic.com.