CASS Controls Associate - Internal Audit

Yorkshire and the Humber

CASS Controls Associate - Internal Audit

  1. Permanent
£35,000 - £40,000 per annum
KH1

Yorkshire and the Humber

The details

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This exciting new opportunity has arisen to join a growing Client Money Audit Team, playing a key part in delivering the audit cycle for members and partners across the group with regards to CASS 5 compliance. The role will support external audit requirements and sampling, support members with risk mitigation and improve their regulatory positions and assist in the production of accurate reporting.

This is a home-based role that will require the occasional travel to clients to carry out audits.

  1. Audit members' compliance, with FCA CASS 5 client money rules and internal requirements relating to those client money rules.
  2. Ensure the back-office systems for all members contain valid and accurate transactions, such as insurer creditors, client debtors and bank account balances and that these are maintained accurately and in accordance with any procedures/ membership agreements.
  3. To produce monthly and accurate reporting including supporting month end processes.
  4. Coordinate and support client money, insurer & statutory audits across the group (including management updates, collation of evidence, review of evidence with stakeholders, agreement of action plans).
  5. Oversight and proactive review of quarterly IB IBA controls (working alongside accountants and management to collate control evidence, review performance of controls and enhancements to control environment).
  6. Act as payments authoriser.
  7. Complete timely IT access audits
  8. Fulfil your responsibilities in line with agreed processes in order to achieve agreed objectives, and in doing so, ensure compliance with the client and insurer money rules within the FCA Handbook.
  9. Build and manage member and partner relationships in respect of High-risk Audits, CASS consultancies, reviews, changes in regulations and process roll out and management.
  10. Take ownership of key regulatory requirements e.g., 5.5.69 calculations.
  11. Support month end and internal procedures.
  12. Completion of other Ad hoc audit, control, supplementary requests and additional duties as instructed to support the wider Client Money team and Business.

We are looking for a qualified or part qualified accountant with experience working in a Client Money Audit environment, preferably within an FCA regulated environment or within general practice. You will be an excellent communicator, who is a tenacious individual with a detailed mindset and good technical ability

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