CASS Compliance Lead: Client Assets & Oversight

Upvest GmbH; City Of London; Hybride; GBP 90 000 - 130 000; Plein temps

Avantages offerts par ce poste

Remote work across Europe & abroad up

Sabbatical after 4 years

Personal development budget

Equity program

Résumé du poste

Upvest is seeking a CASS Oversight Manager to protect client money and custody assets under FCA Client Assets Sourcebook. You will bridge regulatory requirements with operations, product, and engineering to ensure scalable, audit-ready controls.

You will lead reconciliations, breaches, CMAR reporting and maintain the resolution pack, while engaging with banks, custodians and clients to strengthen governance across Europe.

Qualifications

• Deep working knowledge of CASS 6, 7, 8, 9 and 10, including client money calculations and reconciliation.
• Experience with CMAR reporting and CASS audits.
• Ability to translate FCA rules into actionable procedures and controls.
• Strong communication with internal and external stakeholders including auditors and banks.

Responsabilités

• Own the CASS oversight framework, risk assessment, controls matrix and procedures across CASS requirements.
• Work with B2B clients, sales and client impact teams to enable compliant investing at scale.
• Oversee daily client money calculations and reconciliations, addressing breaks and root causes.
• Manage breaches, regulatory reporting, CMAR, and annual CASS audit coordination.
• Keep the CASS Resolution Pack up to date and retrievable within timeframes.
• Embed CASS considerations into product and engineering design and ledger integrity.
• Produce CASS MI for board and risk committees and deliver relevant training.
• Manage external relationships with banks, custodians and auditors.

Connaissances

CASS Expertise

Regulatory Compliance

Stakeholder Management

Regulatory Analysis

Audits & CMAR

SMCR / SMF18

Outils

Banks & Custodians collaboration

Description du poste

Upvest is seeking a CASS Oversight Manager to protect client money and custody assets under FCA Client Assets Sourcebook. You will bridge regulatory requirements with operations, product, and engineering to ensure scalable, audit-ready controls.

You will lead reconciliations, breaches, CMAR reporting and maintain the resolution pack, while engaging with banks, custodians and clients to strengthen governance across Europe.