To have responsibility and provide dedicated oversight for all end-to-end CASS protection activities across DST administration by having a direct relationship with, and be first point of contact for, Firm’s/s’ CF10a and CASS oversight teams.
- Manage a close relationship with the CSM team and all operational areas to ensure all CASS related processes, projects and issues are managed effectively between business areas at all times and driving them to conclusion.
- Accountability for the resolution of all CASS related issues and queries.
- Drive down client query volumes by analysing trends and targeting key areas such as client education, processing flaws and risks, standardisation of reconciliation narratives etc.
- Be familiar with individual client CASS models, bespoke processes and oversight requirements (for those clients assigned to you).
- Identify potential efficiencies within current processes and systems and help drive through to implementation, where practical.
- Attend client meetings at client offices as and when required with CSMs, relevant business processing teams or individually in line with reasonable CSM client travel.
- Host client visits/meetings at DST when required and work in close harmony with Audit Coordinators to manage actions and lessons learned to resolution.
- Walkthrough and understand CASS Dashboard.
- Attend periodic CASS reviews, if required.
- Attend periodic banking relationship meetings, if required.
- First sight of any potential CASS breaches before liaising with client to discuss the issues and investigate and escalate any potential breaches to client contacts and DST CSMs.
- Coordination of multi-client communications such as CASS incident management, generic breach notifications, materials for CASS User Group and client Forums.
- Review CASS breaches frequently to identify trends, issues, and preventative actions, ensuring that sufficient procedures and controls are in place to prevent reoccurrence.
- Understand and influence change to existing CASS processes where necessary.
- End-to-end oversight and ownership, on behalf of relevant business processing teams, of all ‘non-BAU’ events to track CASS implications and to ensure all shortfall funding is actioned correctly to ensure no Client Money over/under protect monies as a result.
- Change management in respect of CASS regulations, working with project managers to ensure that client requirements are represented and understood.
- Share experiences, query trends and MI with team members so that consideration of key issues can be given to all clients/operating models.
- To carry out any other duties which are within the employee's skills and abilities whenever reasonably instructed
The Ideal Candidate
- Experience in Financial Services Investment Industry
- Understanding of responsibilities within the Financial Services Industry
- IOC or equivalent, or commitment to study for IOC or equivalent
- Basic keyboard skills to include awareness of MS Office packages
- Good Verbal reasoning and numeric skills
- Ability to analyse and appraise work, to identify potential areas of concern that could lead to risk
- Degree level of education in relevant subject
- Advanced Excel and Work Query
- Experience of DST systems, FAST, Frontier, AWD, FSU/General Ledger Structure.
All offers of employment at DST are subject to background verification checks, including 5 year employment history, proof of eligibility to work in the UK, proof of address, credit check and criminal record check. The accuracy of all information you submit as part of your application is vital and may be used as part of the background checking process should you be successful.
About the Company
DST is a leading provider of specialised technology, strategic advisory, and business operations outsourcing to the financial and healthcare industries. We enable clients to transform complexity into strategic advantage by helping them continually stay ahead of and capitalise on ever-changing customer, business, and regulatory requirements in the world's most demanding industries.
Headquartered in Kansa City, Missouri, USA, DST is a public company listed on the New York Stock Exchange (NYSE: DST), employing over 16,000 talented people globally.
In March 2017, DST acquired International Financial Data Services (IFDS) in the UK and Ireland; making DST a leading provider of investor and policyholder administrative services to the funds, insurance and wealth management industries.