Client Money Oversight – Senior Analyst


Role: Client Money Oversight – Senior Analyst
Location: London, UK

Department: Client Money Oversight

Reports to: Head of CASS

Main Purpose of Role:

The main purpose of the role is to assist in delivering an effective CASS Oversight programme of FundRock Partners’ third party administrators (TPAs).

The CASS Oversight Team is located in the London Office and is part of the firm’s oversight functions of FundRock Partners as an Authorised Corporate Director, reporting into the Oversight Committees and Board.

As an intern, you will supply valuable administrative support, such as helping to collate various CASS documentation, which could include updating various word, excel and PowerPoint documentation. There will also be an element of learning so that you can understand not only the day to day role but also the regulatory side and the role of the TPA.

Key Responsibilities:

  • Support the CASS Oversight Manager for the FCA ‘Client Money Rules’ Oversight performed on the Third Party Administrator (TPA) and the firm FundRock Partners Limited;
  • Develop and maintain good working relationships with each team of the business;
  • Assist with the client money daily recs, funding requirements and maintain the CASS dashboard for all balances protected into client money;
  • Daily reconciliation and Adhoc query resolution and liaison with TPA or other external parties on treatment of balances received and whether they should be protected into client money or treated as firm money;
  • Assist with monitoring for all TPA breaches to verify if there are any client money concerns and that the correct rules have been reported;
  • Update the internal breaches dashboard for all CASS breaches and follow procedures through to closure;
  • Maintain and record breach trend analysis for TPA discussions on process and controls as well as reoccurrence;
  • Perform weekly Resolution Pack check to ensure up to date and certified by the Head of CASS on a monthly basis.
  • Provide cover for the CASS Oversight Manager for CMAR submission into RegData as directed by the Head of CASS;
  • Provide monthly audit reconciliation evidence and document charity donations for the year;
  • Compile client money management information for the firm’s Oversight Committees as directed;
  • Liaise and provide support for queries with appropriate third parties for the CASS oversight process e.g. TPA and auditors , as directed;
  • Assist with review of all CASS documentation including procedures to ensure kept up to date.
  • Assist with the annual CASS audit with gathering required information and resolution of audit queries.
  • Keep abreast of regulatory change or industry discussions with regards to client money;
  • Complete any other appropriate ad hoc tasks as directed;
  • Attend CASS review meetings or working groups.

Key Attributes and Qualifications:

  • Demonstrate good communication skills, both written and oral and be able to converse at all levels;
  • Independent thinking to find efficient and innovative ways to solve problems;
  • Meticulous attention to detail;
  • Strong multi-tasking abilities; able to juggle conflicting priorities;
  • Have a proven hands-on attitude, be flexible and adaptable;
  • Respect the FundRock Partners’ approach to client care and demonstrate due regard to the interests of the clients in any and all third party dealings;
  • Some experience of client money would be beneficial;
  • Some knowledge of the UK regulatory environment and rules prescribed in the FCA CASS Handbook as well as the SYSC sourcebook;
  • Good IT skills – intermediate Excel, Word, PowerPoint, Outlook;

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR) please visit our CSR policy page.

If you are looking to take that next step in your career and are ready to work for a high performing organisation, alongside talented people who take pride in delivering great results, please submit your application (with your CV, cover letter and salary’s expectations) to our dedicated email address:


Date of Posting: 10/06/22
PID: 11271

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We look to recruit bright, articulate and numerate employees who are not afraid of a challenge and are prepared to work hard and love what they do. Every employee plays a part in making our business what it is today and the more we grow, the more important that becomes.


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