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Regulatory Auditing & Oversight - Senior Technical Associate

Please Note: The application deadline for this job has now passed.

Job Introduction

The role is based with our EMEA CASS audit team.

The CASS Audit team provides a central point of contact within SS&C for all external audit firm’s CASS requests. The team are responsible for owning the relationships with the auditors, and managing each audit to ensure that auditors receive the required/requested data within the audit regulatory deadlines.

Role Responsibility

You will be the primary day to day point of contact for designated auditor(s) escalation to management group if required.

Within this role you will build strong relationships with the auditors through regular contact both during periods where audits are active, and where they are not. Ensuring that they have a clear understanding of the position of  active audits in your remit, and visibility of  their future work in the audit pipeline.

Facilitation and coordination of CASS Audits and Assurance visits, including working with individual departments towards achieving positive audit findings throughout the division and implement process and controls are of the highest standard.

When required, completion of the population/ sample /question template in accordance with the CASS Audit team procedures, the requests Auditors submit to carry out their testing.

Provide internal support to CASS audit senior management team throughout visits from Auditors, ensuring that the highest level of service is provided.

When required, maintain and monitor the Audit Log ensuring all requests are completed with the agreed service level agreements.

Collate and maintain a library of responses to questions. Audit oversight team will utilise answers for repeat questions with aim to reduce workloads on core business areas.

Work with CASS audit senior management team when audit findings require enterprise wide review.

Additional Responsibilities – Complete any additional ad hoc tasks as directed by manager.

The Ideal Candidate

  • Excellent communication skills, including the ability to communicate well with internal and external verbally and in writing
  • Strong eye for detail
  • Good keyboard skill to include awareness of MS office packages
  • A proactive and can-do attitude towards any task set
  • Experience working within a team and the ability to work independently
  • Strong attention to detail
  • Financial Services experience


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