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Asset Management - Deputy CASS Officer - VP

Req #: 170112173
Location: London, ENG, UK
Job Category: Asset Management
Potential Referral Amount: 3500 Pound Sterling (GBP)

JPMorgan Chase & Co. is a leading global financial services firm with assets of more than $2.4 trillion, over 250,000 employees and operations in over 60 countries. It operates across four business segments including Asset & Wealth Management, Corporate and Investment Banking, Commercial Banking and Consumer and Community Banking. 

J.P. Morgan Asset & Wealth Management advises institutions, endowments, foundations and families through Asset Management and Wealth Management. Our Wealth Management business includes J.P. Morgan Private Bank, J.P. Morgan Securities and Chase Wealth Management.  

J.P. Morgan Private Bank advises the world’s wealthiest families and helps them achieve their desired goals. Our teams of Advisors deliver advice, solutions and services across investments, wealth planning, credit and banking to help clients build, preserve and manage their wealth over time.  

Our UK team of specialists works seamlessly to help our clients achieve their financial goals and aspirations. We’re proud to be named ‘2017 Best Private Bank in UK for Ultra-High-Net-Worth’ by Euromoney.

Job Purpose

As Deputy CASS Officer for the EMEA region you will play a leading role, alongside the EMEA CASS Officer, in supporting the CF10a in overseeing the operational effectiveness of the firms systems and controls which are designed to achieve compliance with the FCA CASS rules and other relevant European regulation. You will:

  • participate in the identification, measurement and management of the overall CASS operational risks and the development and implementation of a consistent and disciplined control management framework to mitigate those risks.
  • ensure practices are in compliance with the FCA CASS rules and equivalent European regulation, where relevant, and also with internal risk and control standards and policies.
  • required to ensure the CASS control environment remains robust and fit for purpose and will be the first point of escalation for all CASS related items working closely with the CASS Operational Oversight Team.

The role will be part of the UK Platform & Client Service Function with a primary reporting line to the Head of UK Service delivery and a dotted reporting line into the EMEA CASS Officer.

Principal Responsibilities:

  • Ownership of CASS Policy and Standards and legal entity & CF10a folders
  • Ownership of CASS Risk & rule matrix

  • Ownership of CASS FRC Controls mapping document

  • Secretary of AM EMEA CASS Governance Committee

  • First point of escalation for all CASS related issues

  • Breach reviews, materiality assessments and escalations

  • Responsible for escalation of breaches to senior management and compliance

  • SME for CASS rule related queries

  • Advisory for CASS issues arising from DST CASS improvement programme

  • Monthly review of CMAR return

  • Ownership of CASS Officer CASS resolution pack documents

  • Manage quarterly and annual attestations for CASS resolution plan and annual testing

  • Quarterly board reporting

  • Monthly reporting to JPM Funds Ltd Management Committee

  • Ownership of CASS Training strategy and roll out of CASS training

  • Participation in annual external audit including review and sign off of management responses and final reports

  • Oversight of actions arising from internal audit and compliance reviews

  • Completion of Annual time deposit broker testing

  • Conducting annual acknowledgement letter testing

  • Attendance at Cross LOB CASS meetings

  • Office of Legal Obligations approver for relevant obligations






Skill Set

  • Strong understanding of the FCA CASS rules
  • Experience of working in the CASS operational environment
  • Preferably knowledge of the fund management business and in particular how the CASS rules apply to UK Fund managers and ISA Managers
  • Preferably previous exposure to transfer agency operations
  • Controls/risk mindset
  • Effective time management
  • Self motivation
  • Excellent communication skills (verbal and written)
  • Thorough
  • Negotiating and influencing
  • Leadership
  • Teamwork
  • Decision making


JPMorgan Chase & Co. offers an exceptional benefits program and a highly competitive compensation package. JPMorgan Chase & Co. is an Equal Opportunity Employer.

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