CASS Assurance in Practice - Testing the Framework

Introduction

Second-line assurance is where many CASS frameworks fail to deliver real comfort. This new virtual classroom seminar demystifies how to build assurance programmes that genuinely test control design and operating effectiveness rather than replaying first-line monitoring.

This interactive session will explore how to translate risk assessments and control matrices into evidence-based testing, apply professional-audit discipline to assurance work, and present findings that influence senior management decisions and audit readiness.

You will leave with a complete assurance toolkit - from testing design to evidence collation and reporting - enabling the delivery of a meaningful, risk-based oversight that stands up to FCA or auditor scrutiny.

What You Will Learn

This live and interactive course will cover the following:

• How to structure a proportionate CASS assurance framework aligned with FCA and FRC expectations
• Designing risk-based testing plans and sample strategies that reveal root-cause weaknesses
• Techniques for re-performing reconciliations, validating MI and testing break management end-to-end
• Linking assurance findings to the firm’s CASS risk assessment, control inventory, and issue log
• How to grade and report results in a way that drives action, not bureaucracy
• Using data analytics and automation to enhance coverage and reduce manual effort
• Integrating assurance with the firm’s governance cycle - reporting to senior management, SMFs, and audit committees
• Common assurance pitfalls and what “good” looks like in mature CASS oversight functions

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.