Regulatory Compliance Analyst - Client Assets (CASS)- Senior Associate

Zoek Pin Belfast, Northern Ireland

Permanent (Full time)

Posted 38 days ago

Who are we?PwC’s Operate business delivers large operational and managed service solutions for clients to meet regulatory, risk and compliance over 2500 staff deployed on large implementation and execution programmes, Operate brings together top talent with a distinctive mix of knowledge and skills. We support clients in the delivery of large scale operational programmes and managed solutions. We deliver our client work from a range of locations, providing our clients with high-quality delivery, access to subject matter expertise and operational discipline for some of the biggest brands worldwideOur Compliance Testing CASS team supports regulatory compliance and assurance on investment banks and asset & wealth management firms, ensuring that they have adequate process and controls in place to mitigate risks associated with corporate failure and protection of investors and customers. Engaging directly with our clients, we document and assess business, products, and processes, execute controls testing, and provide recommendations back to improve and enhance frameworks. We deliver our client work from Belfast, providing our clients with a first class client experience, access to subject matter expertise and operational excellence disciplines.
A career in our CASS team will provide you with the opportunity to provide a range of assurance services and business advice to a variety of clients from small, asset & wealth management firms to global institutions and investment banks. We are highly focused on innovation and technology. You will have the opportunity to gain experience working with RPA (robotics) tools, the latest analytics & visualisation tools, and learn to create and use your own personal automation tools.

The role typically involves the following

  • Conducting meetings (typically with the use of technology) with our clients to obtain an understanding of the client’s business processes, risks, and controls;
  • Obtaining evidence and documenting our understanding of the clients business processes, risks, and controls;
  • Assessing evidence received from clients to conclude on whether their processes, risks and controls are operating as intended.
  • Liaising with PwC Subject Matter Experts to conclude upon the work performed and documenting the outcomes.
  • Providing recommendations to clients on how to improve their business processes and controls frameworks to ensure regulatory compliance.

This role provides a real breadth and depth of experience and provides fantastic exposure to some of PwC’s most high profile financial services clients, in the investment banking and asset & asset management sector.


Essential criteria:

  • 2 or more years experience in a CASS industry role, or in a controls testing or assurance environment
  • Knowledge of controls testing or audit methodologies
  • Senior stakeholder relationship management
  • Excellent attention to detail and a passion for delivering high quality output
  • Strong analytical skills, being able to understand complex processes and apply challenge
  • Excellent problem solving skills, ease of navigating through issues and problems
  • Willingness to expand technical knowledge in a broad range of client facing projects
  • Proven ability to be a team player, while retaining the ability to work independently with little supervision
  • Experience of identifying and effectively reporting issues and recommendations for improvement to clients

Desirable criteria:

  • CASS regulatory experience in an audit or industry environment
  • Experience working in a regulated industry such as investment banking or asset & wealth management
  • Experience in providing coaching and feedback for junior staff and identifying development opportunities to build upon the strengths of team members
  • Ability to manage deadlines within multiple projects and demonstrate project management skills

Where will you be based?

The role will be based in Belfast, with opportunities for short or ad hoc travel for the purposes of training or meeting clients in person. There will also be opportunities for longer term travel for those candidates seeking such but your desire and ability to do this will be discussed as part of the recruitment process. Candidates who are unable or do not wish to work on projects in other locations will still be considered.

What’s in it for you?

This is an opportunity to join a growing team, bringing your experience and energy, to make a real difference at a local team level and to our clients. You will join a fun and faced paced environment that can provide you with a long term rewarding and stimulating career.

You will work with a variety of clients across a range of different programmes providing you with the opportunity to see and try new things. We have a strong culture of business innovation, using technology and process improvement to automate the mundane and repeatable tasks. You will have an opportunity to get involved and work alongside our technology enablement teams to create positive change.

You will benefit from a range of personal development support. This includes having access to our technical training pathways and personal skills training programmes delivered by our dedicated Operate Academy team. You will also have access to our Professional Qualification pathway that includes a wide range of industry recognised qualifications that can support your desired career direction, including Chartered Institute of Securities & Investment, Investment Operations Certificate (IOC).

Not the role for you?
Did you know PwC offer flexible contract arrangements as well as contingent work (ie temporary or day rate contracting)?

The skills we look for in future employees
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The Deal
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Valuing Difference. Driving Inclusion.

We work in a changing world which offers great opportunities for people with diverse backgrounds and experiences. We seek to attract and employ the best people from the widest talent pool because creating value through diversity is what makes us strong as a business, enabling us to solve important problems and deliver value to our clients. We encourage an inclusive culture where people can be themselves, are valued for their strengths and are empowered to be the best they can be. As an organisation with an increasingly agile workforce, we also support different ways of working offering flexible working arrangements. Learn more here about our work to support an inclusive culture.


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