Senior CASS & Client Assets Oversight Lead

Upvest; London (KY); Hybrid; USD 148,000 - 228,000; Full time

Benefits offered by this job

30 days annual leave

Remote across Europe

Personal development budget

Sabbatical after 4 years

Hybrid work options

Job summary

Upvest is seeking a CASS Oversight Manager to safeguard client money and custody assets in full compliance with FCA Client Assets Sourcebook. You will be the primary day‑to‑day authority on CASS, bridging regulatory requirements with operations and our scalable investment API.

You will collaborate with Product, Engineering, Compliance, Client and Operations teams to keep the client asset framework robust and audit‑ready.

Qualifications

• Deep knowledge of CASS 6–10 including client money calculations and reconciliation.
• Experience handling breaches, CMAR reporting and CASS audits.
• Ability to interpret FCA rules and translate them into procedures.
• Strong communication with internal and external stakeholders.

Responsibilities

• Own the CASS oversight framework, including risk assessment, controls, policies and procedures.
• Collaborate with Product, Engineering, Compliance, Client and Operations to ensure CASS is built into products.
• Oversee daily client money calculations and reconciliations; investigate breaks and fund shortfalls.
• Manage breaches and regulatory reporting; maintain CMAR and support annual CASS audit.
• Keep the CASS Resolution Pack current and retrievable within regulatory timeframes.
• Embed CASS considerations into new product features and system changes.
• Prepare CASS MI for board and risk committees; deliver CASS training.

Skills

CASS expertise

Client asset handling

Regulatory analysis

Stakeholder management

Self-starter

Education

CISI Client Assets Specialist

Job description

Upvest is seeking a CASS Oversight Manager to safeguard client money and custody assets in full compliance with FCA Client Assets Sourcebook. You will be the primary day‑to‑day authority on CASS, bridging regulatory requirements with operations and our scalable investment API.

You will collaborate with Product, Engineering, Compliance, Client and Operations teams to keep the client asset framework robust and audit‑ready.