CASS Technician

Quilter

8d

About The Position

The CASS Control Technician is a key member of the CASS Control & Assurance team, responsible for supporting the delivery of a robust governance and oversight framework that ensures compliance with the FCA’s Client Assets Sourcebook (CASS) rules. This role underpins the safeguarding of client money and assets across Quilter’s Affluent Division, contributing directly to positive customer outcomes and adherence to Consumer Duty principles. Working closely with the CASS Control & Assurance Specialist and the Head of CASS Control & Assurance, the Technician provides operational support across monitoring, reporting, and assurance activities. This includes assisting with the execution of the CASS Assurance Plan, maintaining audit readiness, and ensuring that control attestations across operations are completed accurately and on time. The role requires a strong focus on data integrity, process efficiency, and proactive risk management to maintain Quilter’s regulatory posture. Beyond day-to-day operational tasks, the Technician plays an important role in promoting a strong CASS culture across the business and its outsourced partners. By engaging with stakeholders, supporting training initiatives, and contributing to continuous improvement projects, the Technician helps embed regulatory awareness and drive enhancements to systems, processes, and controls. This is a dynamic role that offers exposure to governance forums, audit engagements, and cross-functional collaboration, providing an excellent platform for professional development within a highly regulated environment.

Requirements

• Strong organisational and analytical skills, with the ability to manage multiple priorities effectively and meeting deadlines in a regulated environment.
• Ability to interpret regulation and apply it in an operational context, with a keen interest in developing CASS expertise.
• Effective communication and stakeholder engagement skills, including the ability to explain technical concepts clearly.
• Proficiency in using data and technology tools for reporting and control monitoring (e.g., Excel, Ruleguard, or similar platforms).
• Attention to detail and accuracy in producing MI and documentation for governance forums.
• Problem-solving mindset with the ability to identify trends, propose improvements, and support continuous enhancement of processes.
• Ability to work collaboratively across multiple teams and outsourced partners, fostering a strong CASS culture.
• Adaptability and willingness to learn in a fast-changing regulatory and operational environment.

Nice To Haves

• Experience in a regulated financial services environment and familiarity with CASS rules is desirable, but a willingness to learn and develop is essential.
• Experience with risk management, compliance monitoring, or audit processes is advantageous.

Responsibilities

• Support the execution of the CASS Assurance Plan by preparing working papers, collating evidence, and assisting with internal and external reviews.
• Maintain audit readiness by ensuring documentation and control evidence is accurate and up to date.
• Assist in managing the CASS Resolution Pack and other regulatory artefacts.
• Assist in the organisation and coordination of CASS Governance Forums, including preparing agendas, collating materials, and capturing key actions to ensure effective governance and follow-up. Including attendance at CASS Governance Forums (as required)
• Produce accurate and timely MI for governance forums, including Board and Audit Committees.
• Track remediation of monitoring findings and escalate delays where necessary.
• Support the control attestation process within Ruleguard, ensuring timely completion and accurate reporting.
• Log CASS-related risk events in the firm’s risk register and assist in root cause analysis.
• Identify trends and ensure prompt and effective resolution in collaboration with internal and external stakeholders.
• Liaise with operational teams, three lines of defence and outsourced partners to embed a strong CASS culture.
• Provide CASS technical knowledge to help ensure regulatory obligations are understood and met across the Affluent Division.
• Support training and capability development initiatives to promote regulatory understanding, such as delivering CASS awareness sessions under guidance from the CASS Specialist.
• Actively participate in CASS Quality Partnership sessions, contributing insights and supporting actions that strengthen CASS governance and operational effectiveness.
• Champion continuous improvement initiatives by identifying opportunities to streamline processes, enhance operational efficiency, and embed best practice across CASS activities.
• Support Quilter’s Operational Excellence and Digitalisation agenda by promoting automation, leveraging technology solutions (e.g., Ruleguard), and contributing to projects that modernise CASS controls and reporting.

Benefits

• Holiday: 182 hours (26 days)
• Quilter Incentive Scheme: All employees are eligible to participate in incentive scheme, to incentivise business performance and their contribution.
• Pension Scheme: A non-contributory company pension scheme that can be boosted through personal contributions.
• Healthcare Cash Plan: Jersey employees only.
• Benefit Allowance: A cash benefit allowance is payable in lieu of some of our core benefits.
• In addition to our core benefits, we offer a range of flexible benefits to UK employees that you can choose from and pay for conveniently via a salary deduction.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed
• Number of Employees: 501-1,000 employees