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CASS Audit Senior
Overview of BNY Mellon:
BNY Mellon is a global financial services company focused on helping clients manage and service their financial assets, operating in 36 countries and serving more than 100 markets. BNY Mellon is a leading provider of financial services for institutions, corporations and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team.
Wroclaw is one of the key Global Delivery Centres established by BNY Mellon around the world, and is the only one in Continental Europe. We currently employ around 1400 highly skilled people at our centrally-located office in Wroclaw. Over the next few years we have plans to significantly increase this number.
The CASS Audit Senior’s primary role is to act as the expert within Internal Audit carrying out testing against the rules within the Financial Conduct Authority’s Client Assets Sourcebook (CASS) regulations.
- To work with the CASS audit Manager to provide CASS specific direction and support to audit management and the audit team in general.
- Keep up-to-date with development of the CASS regulations and their application to the Company, including liaising with Compliance and Risk.
- Ensure that CASS regulations, risks and controls are appropriately covered in the CASS audits they are responsible for completing,
- Lead CASS specific audit reviews of the business and operations.
- Work with the CASS Audit Manager to provide a view on the validity and risk implications of any CASS related audit issues.
- Challenge Business/Operations Management to ensure appropriate remedial action has been taken where issues have been identified.
- Represent Internal Audit in all CASS related projects and committees assigned,
- Work with the CASS Audit Manager to provide input to and deliver CASS training.
- Lead other non-CASS related audit reviews.
- Carry out other ad-hoc tasks and projects as directed by Audit Management.
- At least 4 years-experience in CASS related roles.
- Good understanding of CASS regulatory requirements
- Good general knowledge of the financial services industry and its regulations and laws.
- Strong understanding of Custody Operations/Banking, Transfer Agency and other Operations impacted by the CASS Rules.
- At least 4 years-experience in an Internal/External Audit role preferred.
- Proven track record of delivering risk based projects.
- Experience of dealing with and presenting to senior management.
- Knowledgeable on good governance practices
- Skill in negotiating issues and resolving problems.
- Considerable skill in effective verbal and written communications, including active listening skills and skill in presenting findings and recommendations.
- Ability to establish and maintain harmonious working relationships with business unit management, operational risk management, co-workers, and staff and external contacts, and to work effectively in a professional team environment.
- Good leadership skills including coaching, mentoring and team building.
- Strong interpersonal and teamwork skills.
- Work Quality: The ability to demonstrate attention to detail to achieve quality results.
- Planning and Organising: The ability to establish a systematic course of action for self or others to ensure consistent accomplishment of specific objectives. The ability to multi task and balance priorities whilst managing a number of competing demands on schedule.
- Analytical Thinking: The ability to analyze large amounts of complex information, to identify and present the key issues in a persuasive way and develop strategies to resolve.
- Conceptual Thinking: The ability to identify patterns or connections between situations that are not obviously related and to determine key underlying issues in complex situations ood leadership skills including coaching, mentoring and team building.
Qualifications and Training
- Degree Educated, preference for accountancy or financial services related
- Additional professional qualifications
If you apply for this role this means you agree with the following statement:
Through my application for a role with BNY Mellon (Poland) sp. z.o.o. (the Company) I hereby authorize the Company to process my personal data for the purposes of recruitment. Furthermore I declare that I am aware of the voluntary submission of data and I am informed about the right to access the data and the right to correct it, pursuant to the Personal Data Protection Act of 29 August 1997 (Journal of Laws [Dz.U] No. 133, item 883)”. I authorise the Company to process my personal data for future recruitment processes.
Furthermore, I authorize BNY Mellon and its’ affiliates, Taleo (UK) Limited to process my personal data.
BNY Mellon and affiliates registration details.-
BNY Mellon (Poland) sp. z.o.o Registered office – Swobodna 3, 50-088 Wroclaw
The Bank of New York Mellon (International) Limited – 1 Canada Square, London, E14 5AL
The Bank of New York Mellon SA/NV – 46 Rue Montoyerstraat, B-1000 Brussels, Belgium
Taleo (UK) Limited Registered office - 78-586 Chiswick High Road, London W4 5RP, United Kingdom,
Please note that during the recruitment process you may be asked to provide further information and supporting documents. The information provided may be verified and reviewed, to the extent permitted by the law, as to their veracity and accuracy.
BNY Mellon is an Equal Employment Opportunity Employer.
Primary Location: Poland-Dolnoslaskie-Wroclaw
Internal Jobcode: 85002
Organization: Audit International-HR07989
Requisition Number: 1805498