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CMRC Audit and Controls Specialist

  • Job reference DST/TP/50858/10772
  • Job type Full Time
  • Sector
  • Location Brentwood
This vacancy has now expired.

CMRC Audit and Controls Specialist

Job Description:

The CASS Audit team provides a central point of contact within DST for all external auditor CASS Audit Requests. It also provides support to facilitate Management Company CASS oversight visits where a CASS Co-ordinator is not appointed. Acting as a technical expert within the team, supporting the Lead Specialists with all audit requests which require either detailed investigation, or which have an IT element (e.g. population requests).

Key responsibilities:

  • Acting as a CASS SME within the audit team, providing support on complex CASS questions/requests
  • Acting as an SME on DST operational processes and core DST systems. Using this knowledge to investigate and resolve complex auditor queries or to source evidence for complicated auditor sample requests
  • Being the primary point of contact for all audit population requests. Confirming that the requests from the auditors make sense, and that the requirements map to the controls being tested. Liaising with the auditor to clarify instructions. Completing analysis and confirming how to source the information and from whom
  • Building strong relationships with the IT teams and Operational MIS and Processing teams, who support the audit team to source this data
  • Attending meetings and calls with auditors to provide input as an SME where necessary
  • Supporting the CASS Oversight Lead Specialists to deliver audits
  • Producing CASS Audit team MI as and where required
  • To identify areas of improvement and contribute to any initiatives to streamline or enhance CASS Audit team processes
  • To carry out any other duties which are within the employee's skills and abilities whenever reasonably instructed

Core Requirements:

  • To exercise due care and diligence, ensuring the areas the role is responsible for are organised and controlled
  • To uphold responsibilities for risk and business continuity practices as appropriate to the position the role holds within the organisation
  • To comply with the regulatory regimes in which DST operates, with particular consideration given to relevant Client Asset, Data Protection and Financial Crime Prevention regulations, as appropriate to the above role
  • To encourage a universal awareness of Client Assets throughout the organisation


  • All employees are accountable for the delivery of a Quality service, driving for excellence in all their work activities:
  • To be quality driven, aiming for 100% accuracy and timeliness of delivery
  • To effectively plan the way services are delivered so that all activity is directly related to providing quality services and meeting the expectations of the customer (internal and external)
  • To continuously review processes and practices relating to the role and act as a catalyst for change and improvement in individual and team performance
  • To observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties
  • To communicate and promote the values which reinforce and support a consistent quality culture
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