Full Access to all CASS on-demand workshops and "How to" videos

About this Course

Workshop 1: Third-Party Oversight

 Paul McDermott covers this subject in 3 sessions:

  • Session 1| Delegation and responsibilities
  • Session 2| Managing 3rd party activities
  • Session 3| Best practice and testing

Workshop 2: Getting CASS right, leading from the top 

This workshop consists of 2 modules

Module 1 | Good Practice Governance

  • Session 1| Why is CASS important & challenging
  • Session 2| The SMCR regime & CASS culture
  • Session 3|CASS risk appetite & policies
  • Session 4| CASS control systems, framework & compliance monitoring

Module 2 | Practical CASS Challenges

  • Session 1| Building a CASS team
  • Session 2| Recordkeeping, reporting and procedure documentation
  • Session 3| Successfully managing CASS audits

5 CASS "How to" videos

Alex Harris covers 5 key areas:

  • Best practice for developing & Maintaining a CASS controls monitor
  • Developing a strong CASS Culture
  • How to Demonstrate & Deliver Compliant 3rd Party Due Diligence
  • The Common CASS RP Pitfalls & How to Avoid Them
  • How to Mitigate the CASS Risks Associated with Outsourcing





Course Information

  • Location: Pre-recorded workshops
  • Led By: Paul McDermott
  • Type: Course

Course Instructor:
Paul McDermott

Paul McDermott has worked in financial services for over 20 years, holding the senior positions of compliance director, head of compliance, regulatory oversight and MLRO for several firms including Deutsche Bank, Dresdner Kleinwort Wasserstein AXA Framlington, Liverpool Victoria and Brewin Dolphin. As a consultant, he liaises with the FCA and the FOS in supporting companies facing regulatory sanctions, gaining authorisation, creating or reorganising of governance structures and the management of complaints.

He has recently taken on the Compliance, Money Laundering and CASS oversight Senior Management Functions for a Portfolio Management firm and a Fintech firm.

Specific learning requirement?

Request a course

In-House Courses

Our courses can be delivered in-house and made bespoke to your company, business model, products and language. As your learning partner, we can help you every step of the way from engaging with multiple stakeholders and carrying out a learning needs analysis to confirming desired outcomes, solution design and delivery.

Learn more

Looking for expertise to help your firm identify, reduce and manage risks?

Fourthline also offer a wide variety of consulting, change and talent services, helping our customers to build high performing risk management teams and supporting them with change management and BAU tasks.

View Talent SolutionsView Flexible Resources

Latest Courses

Financial Crime – The role of the MLRO - Interpretations and the Practical Application

The FCA has increased its efforts to fight every aspect of financial crime and expects firms to understand where the risks lie and take ...

Getting CASS right | Leading from the Top

With continued focus from the FCA and the ever-expanding scope of the Senior Managers’ and Certification Regime (SMCR), the importance of ...

2 Day Course

Third Party Oversight and Best Practices - Online Workshop

Regardless of any delegation of CASS functions to third parties (offshored or outsourced), the firm remains absolutely responsible for their ...

General Enquiry

If you would like this course to be delivered in-house and made bespoke to your organisation’s requirements, fill in your details below.

Get in touch


Kieran Maplesden
Managing Director

0203 800 1099