CASS Oversight Manager (f/m/d)

The role

The CASS Oversight Manager ensures client money and custody assets are protected and segregated in compliance with FCA CASS rules. You will manage the CASS oversight framework, oversee reconciliations, and partner with Product and Engineering teams to embed regulatory requirements into the investment API.

What you will do

• Maintain and improve the CASS risk assessment, controls matrix, policies and procedures across CASS 6, 7, 8, 9 and 10
• Provide advice to B2B clients, sales and client impact teams to support CASS compliant investing
• Oversee daily client money calculations and internal and external reconciliations
• Manage the CASS breach register, assess materiality, and drive remediation
• Own the monthly CMAR submission and act as the primary contact for the annual CASS audit
• Keep the CASS Resolution Pack complete, current and retrievable
• Partner with Product and Engineering teams to assess client asset impact of new products and features
• Produce CASS MI for the board and risk committees
• Deliver CASS training across the organisation
• Support due diligence and periodic reviews of banks and custodians

Required qualifications

• Thorough working knowledge of CASS 6, 7, 8, 9 and 10
• Knowledge of client money calculations, reconciliation methods, acknowledgement letters, resolution pack requirements and the SMCR context
• Several years in a CASS operations, oversight or audit role in practice or at a broker, platform, custodian or wealth manager
• Practical experience of breach handling, CMAR reporting and CASS audits
• Proven experience in interpreting FCA rules and guidance and translating them into operational procedures and controls
• Strong communication of regulatory requirements to internal and external stakeholders

Nice to have

• CISI Client Assets Specialist qualification
• Accounting or audit background
• Equivalent professional certification in a related discipline

Benefits

• €20,000 per year for AI tools
• 30 days of annual leave
• Sports benefits
• Confidential professional coaching
• Flexibility to work remotely abroad for up to 183 days a year
• One-month fully paid sabbatical after every 4 years
• Personal development budget
• Competitive, above-market salary
• Participation in employee equity program
• Company-wide events including UpFest, dinners, offsites and a Holiday party

About the company

Upvest empowers businesses to offer investment products and retirement planning through an easy to integrate Investment API. The company is backed by €280M in total funding and partners with leading Fintechs like DKB, Revolut, N26 and Raisin.