CASS Oversight Manager (f/m/d)

Overview

Upvest is hiring a CASS Oversight Manager for Upvest Securities in London, United Kingdom. This full-time role places you at the center of regulatory compliance, operational processes, and scalable financial infrastructure. You will act as the primary day-to-day authority on the FCA's Client Assets Sourcebook, ensuring that client money and custody assets are protected, segregated, and accounted for in full compliance with regulations.

Who can apply

Candidates must have deep expertise in CASS, including a thorough working knowledge of CASS 6, 7, 8, 9, and 10, covering client money calculations, reconciliation methods, acknowledgement letters, resolution pack requirements, and the Senior Managers and Certification Regime context. Applicants need several years of hands-on client asset experience in a CASS operations, oversight, or audit role at a broker, platform, custodian, wealth manager, or in practice. Relevant qualifications include the CISI Client Assets Specialist qualification, an accounting or audit background, or an equivalent professional certification. Strong regulatory analysis skills, stakeholder management abilities, and a self-starter mentality are required.

What you get

The position offers a competitive, above-market salary and participation in an employee equity program. Employees receive 30 days of annual leave, sports benefits, confidential professional coaching, and the option to work remotely abroad for up to a designated number of days per year. Staff members are also entitled to a one-month fully paid sabbatical after every four years of employment, a personal development budget, and an allowance for AI tools. The work environment provides flexibility across hubs in Berlin, London, or Tallinn, with opportunities to join team celebrations, company-wide events, and inclusion-focused employee resource groups.

Requirements

The role requires managing the CASS oversight framework across risk assessments, controls matrices, policies, and procedures. Responsibilities include working with B2B clients and sales teams, overseeing daily reconciliations and client money calculations, managing the CASS breach register, supporting FCA notifications, and owning monthly CMAR submissions and annual audits. Additional duties involve maintaining the CASS Resolution Pack, partnering with product and engineering teams to embed CASS into new products, producing management information for the board and risk committees, delivering internal training, and managing external relationships with banks and custodians.