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CASS Manager - CASS and Transaction Reporting Oversight - London

Closing date
5 May 2021

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CASS Manager - CASS and Transaction Reporting Oversight - London

The Role
We are looking for a CASS Manager to work within our CASS and Transaction Reporting Oversight team in our London Offices on a permanent basis.

  • Execution of day to day activities of the CASS Oversight programme to identify risks, issues, and breaches of CASS regulations
  • Work with auditors and Compliance to enable completion of audits and internal compliance monitoring programmes.
  • Maintaining accurate and up to date documentation of key CASS controls which are mapped to the CASS rules and risks that they mitigate.
  • Promoting CASS awareness and understanding across the business by providing appropriate training to staff with CASS responsibilities when required.
  • Ensuring CASS breaches are identified and recorded timely and accurately with appropriate management and resolution, and timely and accurate reporting to the regulator in line with policies and regulatory obligations.
  • Preparation and maintenance of management information and key risk indicators.
  • Manage the analysis and impact of changes in CASS regulations on business activities to ensure regulatory changes impacting the firm are implemented timely and accurately.
  • Implement, maintain, and evidence a robust and effective CASS governance and control framework to ensure compliance with regulatory CASS obligations
  • Ensuring the firms CASS footprint is properly identified and documented such that the firm has a complete and accurate understanding of its CASS risks.
  • Maintaining an effective CASS Oversight programme to ensure the firm maintains compliance with CASS regulations and effectively meets its regulatory obligations.
  • Continuously improve the firms CASS policies and control framework to ensure clients can be confident that the firm is properly protecting their money and assets.
  • Provide support to the wider business to help them to ensure their processes are compliant with CASS.
  • Oversee and monitor Aviva Investors' asset management business' compliance with the CASS regulations through a range of activities as part of a defined monitoring schedule.
  • Provide MI and reporting on the findings and outcomes of monitoring.
  • Have and increase knowledge of the CASS rulebook and current regulatory developments (e.g. FCA Policy statements, industry issues and hot topics).
  • Have and develop general awareness of operational and regulatory obligations of an Asset Manager operating in the UK.

  • Investment Administration Qualification (IAQ)
  • Excellent experience and knowledge of the Client Assets Sourcebook and its impact on asset management firms.
  • Regulatory reporting, & CASS knowledge - execution and oversight.
  • Broad understanding of other regulatory obligations and handbooks relevant to an asset manager such as COLL and COBS.
  • Knowledge of products and services of asset management firms such investment administration and collective investment schemes.
  • Broad understanding of operational functions and processes of an asset manager.
  • Effective communication and presentation skills.
  • Effective stakeholder management.
  • Good knowledge of Microsoft Office; in particular, Word and Excel.
  • Analytical mind-set - attention to detail and problem solving.
  • Relevant experience of executing Client Money (CASS) day to day activities in a practical operation
Working at Aviva Investors
Aviva Investors is a global asset manager with broad and deep expertise across all major asset classes. As part of the Aviva Group - the UK's largest insurance company - we are uniquely positioned to combine our insurance heritage with our investment capabilities to deliver the outcomes that matter most to today's investor.

More than 1,500 people work across the globe, bringing it all together for today's investor. When everyone feels part of a unified team, in an environment of fairness, inclusion and positivity, we all achieve more. We care deeply about this, which is why we encourage applications from people with diverse backgrounds and experiences.

At Aviva, we're people with a purpose. To be with you today, for a better tomorrow. We bring this to life by ensuring managing risk is at the heart of how we all work. We love people who do the right thing for our customers, and our colleagues. We want people who speak up, who take responsibility, and who make good decisions.

The way we do this is important too. We're all about our people - that's you - so we can be pretty flexible. In fact, we don't advertise roles as either part or full time, because we know each person has different needs, just as each business area's needs vary. So, it's up to you to discuss working hours during your interview.

We interview every disabled applicant* that meets the minimum criteria for the job. Just send us an email once you've applied stating that you have a disclosed disability, and we'll make sure we interview you.

We'd love it if you could submit your application online. If you require an alternative method of applying, please send an email to

* As defined in The Equality Act 2010*. By 'minimum criteria' we mean you should provide us with evidence which demonstrates that you generally meet the level of competence required and have the qualifications, skills or experience defined as essential to perform the role.
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