upvest - CASS Oversight Manager (SMF18) (f/m/d)
Requirements
• Deep CASS Expertise: Thorough working knowledge of CASS 6, 7, 8, 9 and 10, including client money calculations, reconciliation methods, acknowledgement letters, resolution pack requirements and the SMCR context in which the SMF18 operates. • Hands-on Client Asset Experience: Several years in a CASS operations, oversight or audit role in practice or at a broker, platform, custodian or wealth manager, with practical experience of breach handling, CMAR reporting and CASS audits. • Regulatory Analysis Skills: Proven experience in interpreting FCA rules and guidance and translating them into clear actionable operational procedures and controls. • Stakeholder Management: Strong communication of regulatory requirements to internal and external stakeholders, including engineering and product teams, external auditors and third-party custodians and banks. • Self-Starter Mentality: A highly organised approach with the ability to work independently, prioritise appropriately, and thrive under pressure, particularly around reporting and audit deadlines. • Qualifications: Relevant industry certifications such as CISI Client Assets Specialist qualification, an accounting or audit background, or equivalent professional certification in a related discipline. • HOW WE UPVEST IN YOU: • Best-in-class AI tools: Every Upvenger has €20,000 per year to spend on the best AI tools available — so you're always working with the most powerful models and tooling on the market. • Impact-driven work: We’re building the infrastructure that will power the future of investing in Europe. It’s complex, ambitious, and meaningful. You’ll work with modern technologies and create something entirely new. No legacy systems, no limits. • Wellbeing: Recharge with 30 days of annual leave and maintain a healthy lifestyle with sports benefits. Access confidential professional coaching and enjoy the flexibility to work remotely abroad for up to 183 days a year. Recharge with UpRest, a one-month fully paid sabbatical after every 4 years of working at Upvest. • Development: Growth is in our DNA. Each Upvenger has access to a personal development budget and the freedom to decide how to use it. • Flexible work environment: Work from any of our hubs in Berlin, London or Tallinn hybrid or remotely across Europe, depending on the role. We give you the choice and budget to work where you’re most comfortable and productive, either at home or in the office. You choose. • Compensation and equity: We believe that all Upvengers contribute to our success and deserve a competitive, above-market salary and a participation in our employee equity program. • Team celebrations: Participate in company-wide events, such as UpFest, dinners, offsites and our Holiday party, to connect with colleagues and celebrate our achievements. • Inclusion: We’re committed to a culture where everyone belongs and thrives. Our Employee Resources Groups foster inclusion and connection, like Upfem for our female Upvengers, or UpVergent supporting neurodivergent Upvengers and allies. • Make it easy for others. We simplify the complex and act with the best intentions. • Own the outcome. We are proactive, fast and confident to get the job done, valuing progress over perfection. • Rise to the challenge. We aim high and push the boundaries. We stay curious, learn and celebrate our wins together. • Tell the story. We start with the Why to align on purpose. We are transparent and share knowledge to empower and inspire others.
Responsibilities
• Own the CASS oversight framework: Maintain and continuously improve Upvest's CASS risk assessment, controls matrix, policies and procedures across CASS 6, 7, 8, 9 and 10, providing clear guidance to the business on what is and isn't permitted. • Work with our B2B clients, sales and client impact teams to actively shape solutions and provide advice that enables Upvest to support engaging and accessible investing for millions of end users in a CASS compliant way. • Oversee reconciliations and client money calculations: Oversee daily client money calculations and internal and external reconciliations of client money and custody assets, ensuring breaks are investigated promptly, shortfalls are funded and root causes are addressed. • Manage breaches and regulatory reporting: Maintain the CASS breach register, assess materiality, drive remediation and support FCA notifications where required. Own the monthly CMAR submission and act as the primary contact for the annual CASS audit, closing out findings to completion. • Keep the CASS Resolution Pack live: Ensure the resolution pack is complete, current and retrievable within regulatory timeframes, and that it is updated whenever banks, custodians, key vendors or critical staff change. • Embed CASS into how we build: Partner with Product and Engineering teams to assess the client asset impact of new products, features and system changes, and to ensure our ledgers, payment flows and custody integrations do what the rules require by design. • Enhance governance and culture: Produce clear CASS MI for the board and risk committees, deliver CASS training across the organisation, and track FCA developments to assess their impact on Upvest. • Manage external relationships: Support due diligence and periodic reviews of banks, custodians, and maintain acknowledgement letters and mandate registers in the prescribed form. Feed into TISA and other appropriate forums to gain further industry insights.
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