The Role
Leads CASS audit engagements for FCA-regulated financial services clients from planning through completion. Responsibilities include assessing risks and controls, reviewing client money, custody and safeguarding arrangements, designing audit testing, evaluating deficiencies, preparing reports, supervising teams, managing budgets and deadlines, maintaining client relationships, supporting business development, and staying current with FCA regulations and professional standards.
Summary Generated by Built In
Join our Financial Services team and be part of an established specialist audit and assurance practice. Our team works with a varied portfolio of FCA-regulated clients, including investment firms, payment institutions, e-money institutions and insurance intermediaries.
As a CASS Audit Manager, you will take the lead on a portfolio of CASS audits working closely with partners, directors, and junior team members to deliver high-quality work on time and within budget. This role offers the opportunity to develop deep technical expertise in a fast-evolving regulatory area, while building strong client relationships and supporting the continued growth of our Financial Services offering.
Whether you are already operating at Manager level or are an experienced Assistant Manager ready to take the next step, this role offers the opportunity to broaden your experience, develop your leadership skills and progress your career within a supportive and collaborative team.
For candidates seeking broader exposure, the role can include a mix of CASS/Safeguarding and external audit assignments.
As a CASS Audit Manager, you will take the lead on a portfolio of CASS audits working closely with partners, directors, and junior team members to deliver high-quality work on time and within budget. This role offers the opportunity to develop deep technical expertise in a fast-evolving regulatory area, while building strong client relationships and supporting the continued growth of our Financial Services offering.
Whether you are already operating at Manager level or are an experienced Assistant Manager ready to take the next step, this role offers the opportunity to broaden your experience, develop your leadership skills and progress your career within a supportive and collaborative team.
For candidates seeking broader exposure, the role can include a mix of CASS/Safeguarding and external audit assignments.
Key Responsibilities
- Manage a portfolio of CASS audit clients.
- Lead CASS audits from planning through to completion.
- Plan engagements, perform risk assessments and identify key CASS controls.
- Review client money, custody asset and safeguarding arrangements, including reconciliations, governance arrangements, control frameworks and breach management processes.
- Design and review audit testing, including substantive, analytical and controls-based procedures.
- Identify key issues that may affect audit or assurance opinions and escalate these to directors and partners with clear recommendations.
- Prepare and review audit completion documentation, including audit highlights reports, CASS reports and summaries of findings.
- Review the work of team members, providing constructive feedback, coaching and technical guidance.
- Mentor, train and support trainees, part-qualified staff and newly qualified team members.
- Communicate findings, recommendations and key regulatory matters clearly to clients, managers and partners.
- Build and maintain strong client relationships, acting as a key day-to-day contact on engagements.
- Liaise with Compliance, Risk, Finance, Operations, IT audit and other specialist teams to ensure a coordinated service to clients.
- Monitor engagement progress, budgets, recoverability and deadlines, identifying opportunities to improve efficiency while maintaining quality.
- Support business development activities, including contributing to proposals, client discussions and the development of our CASS offering.
- Keep up to date with FCA rules, regulatory developments and industry practice relating to CASS, safeguarding and financial services assurance.
- Ensure all work is completed in accordance with regulatory requirements, professional standards and firm procedures.
Skills, Knowledge and Expertise
- ACA or ACCA qualified (or equivalent)
- Current Audit Manager, or experienced Assistant Manager, with experience managing audit or assurance engagements.
- Strong Financial Services audit experience, ideally including investment firms, payment institutions, e-money institutions or other FCA-regulated businesses.
- Strong experience of CASS audits, particularly CASS 6, 7 and 8.
- Good understanding of the FCA CASS rules, safeguarding requirements and wider regulatory expectations for financial services firms.
- Strong technical audit and accounting knowledge, including UK GAAP and auditing standards.
- Experience reviewing reconciliations, control frameworks, governance arrangements and risk management processes.
- Ability to identify control deficiencies, regulatory issues and practical recommendations for remediation.
- Experience supervising, coaching and developing junior team members.
- Excellent communication and interpersonal skills, with the ability to explain technical matters clearly to clients and colleagues at all levels.
- Highly organised, with the ability to manage multiple assignments, prioritise workloads and meet deadlines.
- Commercially aware, with the confidence to identify opportunities to add value to clients and support business development activity.
- Proactive and self-motivated, with the ability to use initiative and work independently when required.
- Adaptable and responsive to changing priorities, regulatory developments and client needs.
- Strong attention to detail and commitment to delivering high-quality work.
- Ability to establish credibility and trust with clients, colleagues and senior stakeholders.
- Experience in audit quality, technical review or regulatory assurance would be advantageous.
Benefits
About
At Moore Kingston Smith, we believe in the potential of people to make a positive impact, fuelled by the power of genuine understanding. Working with small, medium and large clients, we are a multi-disciplinary advisory, tax and audit firm with expertise across multiple sectors, uniquely positioned to help people realise their ambitions. Our London and regional teams deliver quality results locally and nationally, and worldwide alongside the Moore Global network. Through respect, collaboration and active listening, understanding is at the heart of everything we do with our clients, colleagues and communities. We value people and projects that promote positive change for the future. Come and join us to make a difference.
Skills Required
- ACA or ACCA qualified, or equivalent
- Current Audit Manager or experienced Assistant Manager with audit or assurance engagement management experience
- Strong Financial Services audit experience
- Experience auditing investment firms, payment institutions, e-money institutions, or other FCA-regulated businesses
- Strong experience conducting CASS audits, particularly CASS 6, 7 and 8
- Understanding of FCA CASS rules, safeguarding requirements and financial services regulatory expectations
- Strong technical audit and accounting knowledge, including UK GAAP and auditing standards
- Experience reviewing reconciliations, control frameworks, governance arrangements and risk management processes
- Ability to identify control deficiencies, regulatory issues and remediation recommendations
- Experience supervising, coaching and developing junior team members
- Excellent communication and interpersonal skills
- Ability to manage multiple assignments, prioritize workloads and meet deadlines
- Commercial awareness and ability to support business development activities
- Proactive, self-motivated and able to work independently
- Adaptability to changing priorities, regulatory developments and client needs
- Strong attention to detail and commitment to quality
- Ability to establish credibility and trust with clients, colleagues and senior stakeholders
- Experience in audit quality, technical review or regulatory assurance
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The Company
What We Do
Moore Kingston Smith is a multi-disciplinary advisory, tax, and audit firm with expertise across multiple sectors, uniquely positioned to help people realize their ambitions.
