CASS Senior Consultant

About Northern Trust:

Northern Trust a Fortune 500 company is a globally recognized award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the worlds most successful individuals families and institutions by remaining true to our enduring principles of service expertise and integrity. With more than 130 years of financial experience and over 22000 partners we serve the worlds most sophisticated clients using leading technology and exceptional service.

Key responsibilities

CASS Governance & Oversight

• Design maintain and enhance the firmwide CASS governance and oversight framework

• Maintain and enhance the CASS Risk and Controls Matrix (RCM).

• Provide clear concise CASS risk compliance and control reporting to senior management and governance committees.

Regulatory Liaison & Reporting

• Act as a senior point of contact with the FCA on CASS matters supporting regulatory engagement reviews and information requests.

• Oversee the preparation and quality assurance of the Client Money and Assets Return (CMAR).

• Lead the annual CASS audit process including engagement with auditors and coordination of remediation activity.

Technical & Advisory Leadership

• Provide expert advice and challenge to senior stakeholders on complex or judgementbased CASS matters.

• Assess the CASS impact of new products business initiatives outsourcing arrangements and operating model changes.

• Translate regulatory developments and FCA expectations into practical businessfocused actions.

Operational Oversight

• Oversee the effectiveness of controls supporting CASS 6 (custody) CASS 7 (client money) CASS 8 (mandates) and CASS Resolution Pack requirements.

• Ensure strong governance over reconciliations segregation recordkeeping and insolvency preparedness.

• Challenge firstline execution and ensure issues are identified escalated and resolved.

Breach & Incident Management

• Lead or oversee investigations into CASS breaches and nearmisses.

• Ensure timely escalation regulatory input where required robust rootcause analysis and sustainable remediation.

• Perform trend analysis to drive continuous improvement of the CASS control environment.

Senior Management Support & Accountability

• Support the SMF holders with Prescribed Responsibility for CASS by providing highquality MI analysis assurance and effective challenge.

• Contribute to evidencing reasonable steps through strong governance documentation and oversight activities.

Skills & Experience

• Deep practical expertise in CASS particularly CASS 1A CASS 6 CASS 7 and CASS 8.

• Several years experience in financial services with significant experience in CASS oversight compliance audit or regulatory roles.

• Proven ability to influence senior stakeholders

• Strong stakeholder management skills across Operations Finance Technology Legal Internal Audit auditors and regulators.

• Strong regulatory judgement and integrity.

• Detailfocused with the ability to maintain a strategic firmwide perspective.

• Strong communication skills verbal and written

• Calm authoritative and credible under regulatory scrutiny.

Working with Us:

As a Northern Trust partner greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.

Movement within the organization is encouraged senior leaders are accessible and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.

Wed love to learn more about how your interests and experience could be a fit with one of the worlds most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater

Reasonable accommodation

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process please email our HR Service Center at .

We hope youre excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.

Apply today and talk to us about your flexible working requirements and together we can achieve greater.