CASS Technician

Quilter Investors Limited; Southampton; On-site; GBP 30,000 - 40,000; Full time

Job summary

A leading financial services firm in Southampton is looking for a CASS Control Technician on a fixed-term contract for 11 months. This role requires strong analytical skills and a proactive approach to problem-solving while supporting compliance with regulatory requirements. Responsibilities include preparing for governance forums and ensuring audit readiness. The ideal candidate should have effective communication skills and experience in a regulated environment, particularly in risk management and compliance.

Qualifications

• Strong organisational and analytical skills to manage multiple priorities effectively.
• Ability to interpret regulation and apply it operationally.
• Experience with compliance monitoring or audit processes is advantageous.

Responsibilities

• Support execution of the CASS Assurance Plan.
• Prepare materials for CASS Governance Forums.
• Produce accurate MI for governance forums.

Skills

Strong analytical skills

Effective communication

Proactive problem-solving

Risk management experience

Tools

Excel

Ruleguard

Job description

Fixed Term Contract Duration - 11 Months# ****About the Business****Quilter plc is a leading provider of financial advice, investments and wealth management, committed to being the UK’s best wealth manager for clients and their advisers. Quilter oversees £119.6 billion in customer investments (as of 31st March 2025). It has an adviser and customer offering spanning financial advice, investment platforms, multi-asset investment solutions, and discretionary fund management. The business is comprised of two core segments: Affluent and High Net Worth. The affluent segment comprises Quilter Investment Platform (QIP), Quilter Financial Planning (QFP), Quilter Investors (QIL) and Quilter Invest (QI). The high net worth segment includes the discretionary fund management business, Quilter Cheviot, together with Quilter Cheviot Financial Planning. At Quilter we never stand still. Our foundations are rooted in our extraordinary expertise, which is trusted by hundreds of thousands of customers, but we have great ambitions to stay one step ahead and make an even greater difference to the people and communities we serve. Our business is transforming, continually modernising, and becoming even more customer centric. So, if you want to be bold in the pursuit of your ambitions, bring new ideas, and challenge and evolve what we do, it’s the perfect time to join us!# ****About the Role******Main Purpose:**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.**Key Responsibilities include:****Operational Support & Oversight*** 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)**Monitoring & Reporting*** 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.**Risk Event Management*** 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.**Stakeholder Engagement & Culture Building*** 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.**Continuous Improvement & Technology*** 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.# ****About You****You have strong analytical skills, attention to detail, and a proactive approach to problem-solving. You are comfortable working with data, interpreting regulatory requirements, and collaborating across multiple stakeholders. Experience in a regulated financial services environment and familiarity with CASS rules is desirable, but a willingness to learn and develop is essential.**Skills & Experience:*** 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.* Experience with risk management, compliance monitoring, or audit processes is advantageous.* 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.#LI-FD1#Quilter******Inclusion & Diversity******We value diversity and strive to promote inclusivity in all aspects of our culture. We believe in equal opportunities for all, ensuring that no applicant encounters less favourable treatment based on anything but their skills, qualifications, experience, and potential. We celebrate the unique contributions of a diverse workforce and create a respectful, nurturing environment where every colleague can thrive.******Values********Do the right thing:** We act with integrity and are proudly committed to going above and beyond in service of our clients and the support we provide our communities. **Always curious:** We continuously seek new ideas and knowledge so we’re one step ahead of our clients’ needs. We look for inspiration everywhere and encourage experimentation, recognising that this is how we create brilliant solutions for brighter futures. **Embrace challenge:** We aim high to transform our potential into meaningful outcomes. With ambition as our driving force and a steadfast commitment to growth, we succeed for the good of every generation. **Stronger together****:** Combining our diverse talents,