We are seeking a seasoned CASS professional with extensive experience in CASS or Safeguarding roles, working in industry, external audit, and/or regulators. The CASS Governance & Oversight team is responsible for the design, implementation, and oversight of the governance framework that enables the Commercial & Investment Bank (CIB) to comply with the UK client asset (CASS) rules set by the Financial Conduct Authority (FCA).

As the Head of CASS Governance and Oversight within the CASS and UK Outsourcing Governance & Oversight team, you will be responsible for leading a team of approximately 20 members to establish a governance framework for the CASS rules requirements in the Commercial & Investment Bank (CIB). Your crucial role will ensure that the CIB’s Client Asset Oversight Officer (CAOO) and relevant Senior Management Functions (SMFs) are able to meet their regulatory responsibilities. You will supervise the team that collaborates closely with Operations, Business, and Product Management across all business lines within the In-Scope Legal Entities, as well as with Compliance, Audit, and Risk departments.

Job responsibilities

Lead the ongoing development and execution of the framework to meet CASS rules requirements within the Commercial & Investment Bank (CIB)Ensure timely and accurate execution of BAU regulatory delivery, aligning all processes to regulatory expectations and industry best practicesSupport the UK CASS Annual Audit Process by addressing key audit findings and implementing new controls for any identified gapsOversee the CIB CASS Resolution Pack (RP) ProcessEnsure continued evolution and development of comprehensive CASS training programsManage breach identification and resolution, conduct business applicability analyses and strategic initiativesEstablish and maintain partnerships across business, technology, and operationsCollaborate with stakeholders, including the second and third lines of defense, to foster transparency and use shared insights to identify synergies and ensure effective risk managementBoost efficiency and accuracy by automating tasks with AI, promoting continuous innovation and operational excellenceFoster a team environment where leaders inspire and mentor, driving accountability, collaboration, and innovationEngage actively in the firm's diversity and inclusion initiatives

Required qualifications, capabilities, and skills

Strong technical understanding of the UK client asset (CASS) rules Proven track record of navigating complex and ambiguous regulatory environmentsExperience working with external auditors and holding teams accountable to audit and remediation delivery as well as experience in regulatory, compliance, or operational teams within investment banking / financial servicesProficient in managing teams and supporting career developmentExperience in building and leveraging relationships across different functions within an organizationOrganizational Skills: ability to manage and prioritize tasks effectively, ensuring attention to detailExcellent communication, negotiation and influencing skills and ability to drive changeAbility to evaluate complex issues and make sound judgments, initiative in unstructured situations and ability to drive change and deliver solutionsCapability to build and lead diverse teams, promoting a culture of continuous improvementAbility to establish trust and credibility across the organization and influence colleagues and stakeholdersAbility to work in a fast-paced environment with fluid regulatory and business requirements

Preferred qualifications, capabilities, and skills

Knowledge of the various components of the CIB (e.g. how its various functions and businesses are organized)