Elaine Sutton is a Director with Teneo’s Advisory business, based in London. She also serves as the Head of the CASS regulatory unit.
Elaine is an industry professional with over 25 years of Operational and Financial experience in the Investment Banking and Wealth Management sector with the past 12 years working exclusively on CASS across many product classes. Elaine has previously held senior manager function positions in the financial services institutions she has work for and contributed to board level decisions.
Selected Project Experience:
- Finalised a CASS S166 remediation project for an investment firm which entailed the close out of historic CASS breaches, documenting processes and procedures, developing a robust Client money and Custody reconciliation whilst sending the FCA periodic reports and updates.
- Returned $100 million of Client Money and $2 billion of Client Assets under the Special Administration Regulation within four months.
- Head lead on External and Internal CASS audits.
- CASS Risk Matrix implementation.
- Client Money Reconciliation automation.
- Advising of new investment products implementation under CASS regulation.
- Developed and delivered bespoke CASS training to C-suit members and the wider members of the firm.