Administrator – Compliance

Inviting CVs £18,000 - £23,000 DOE Administrative / Secretarial Bath central Full Time

This is a fantastic opportunity to join a progressive and forward thinking organisation that will offer you training and career advancement.

We are seeking an experienced CASS Administrator to join a friendly team.  This is a varied and interesting role with a mixture of operational and regulatory focus.  It would suit an individual with experience in this area, or someone ambitious and talented who wants to progress in this direction.

Reporting to the CASS Team Leader, the successful candidate will be key in both delivering team and individual targets within the appointed timescales, and to the highest standards.

The team undertake daily reconciliations of client money accounts, overseeing funding from the corporate account for shortfalls and processing payments.


Responsibilities include:

  • Supporting the company’s on-going CASS adherence.
  • Daily client money reconciliations.
  • Daily internal stock reconciliations.
  • Periodic external stock reconciliations.
  • Reconciliation investigation.
  • Regulatory returns.
  • Liaison with third parties such as fund managers and banks.
  • Adherence to regulatory guidelines.
  • Nominee and investment manager payment processing.
  • Tax.
  • Ensure trust letters and associated signatory lists are accurate and up to date.
  • Compile monthly CMAR.
  • Weekly review of CASS RP.

Skills & Experience:

  • Good attention to detail.
  • Excellent interpersonal and communication skills.
  • Ownership and accountability.
  • Excellent drive with ability to work unsupervised and under own initiative.
  • Ability to work well under pressure and to tight deadlines.
  • Working knowledge of Excel.
  • Strong desire to learn and have holistic understanding of a process or issue.
  • A proactive and innovative approach to problem solving, applying logic and foresight to decision-making.


  • Investment Operations Certificate (IOC) or equivalent industry recognised qualification would be advantageous as would financial services experience.
  • Understanding of investments and investment products.
  • Reconciliation background.
  • CASS knowledge, in particular CASS 6 & CASS 7.

Salary £18 – £23,000 DOE


It is Appoint’s policy, as a matter of courtesy to respond to all applications within three working days. However, because of the volume of applications, we are sometimes unable to respond to individual candidates. If we have not contacted you within three working days your application has been unsuccessful and your details have not been retained. Please apply for any other position that you may see in the future.




Please note: Map location is not accurate and is only provided as a guide to the job location.
Reference: JM313753
Contact: Janette

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