Rose Chisvetoh
Head of CASS and Safeguarding
About Rose
Rose is a CASS specialist with over ten years' experience in CASS compliance and regulatory advisory. She began her career at Ernst and Young delivering and managing CASS audit and advisory engagements. She gained experience working on a broad range of clients and demonstrated strong leadership in delivering complex engagements including s166 reviews at global custodians. Her experience spans across a broad range of firms which include global custodians, investment firms, broker-dealers, depositaries, wealth managers, and fintech companies.
She later moved on to JP Morgan and was part of the CASS Governance and Oversight Team, working with multiple business across four legal entities to enhance knowledge and awareness of the regulatory requirements, leading key CASS impacting projects and advising on technical issues.
As part of her experience she acquired key skills highlighted below:
- Developed end-to-end process flows for asset management firms, covering key processes and mapping of rules, risks, and controls for each process.
- Designed and reviewed FRC CASS risks and controls mapping for large investment firms, retail banks, depositaries and wealth management firms.
- Led workstreams for complex s166 review engagements at global custodians, focusing on Markets, Custody, Banking, Securities Operations lines of business to assess regulatory compliance and evaluate remediation plans for significant breaches reported to the FCA.
- Designed tailored online and in person CASS training programs spanning across a broad range of financial services firms.
- Drafting key CASS documents to include CASS RP master documents, technical guidance documents and CASS policies at a major investment bank.