CASS Oversight Manager
U
UpvestFinancial services
Work from any of our hubs in Berlin, London or Tallinn hybrid or remotely across Europe, depending on the role.Full-TimeManager
Salary not disclosed
Apply NowOpens the employer's application page
Job Details
- Experience
- Several years in a CASS operations, oversight or audit role
Requirements
- Have thorough working knowledge of CASS 6, 7, 8, 9 and 10.
- Know client money calculations, reconciliation methods, acknowledgement letters and resolution pack requirements.
- Understand the SMCR context in which the SMF18 operates.
- Bring several years of practical experience in a CASS operations, oversight or audit role.
- Have experience at a broker, platform, custodian or wealth manager.
- Have practical experience handling breaches, CMAR reporting and CASS audits.
- Have proven experience interpreting FCA rules and guidance and translating them into operational procedures and controls.
- Be able to communicate regulatory requirements to internal and external stakeholders, including engineering and product teams, auditors, custodians and banks.
- Be highly organised, able to work independently and prioritise under pressure, particularly around reporting and audit deadlines.
- Relevant CISI Client Assets Specialist qualification, accounting or audit background, or equivalent professional certification is advantageous.
Responsibilities
- Maintain and improve the CASS risk assessment, controls matrix, policies and procedures across CASS 6, 7, 8, 9 and 10.
- Work with B2B clients, sales and client impact teams to shape CASS-compliant solutions.
- Oversee daily client money calculations and internal and external reconciliations of client money and custody assets.
- Ensure reconciliation breaks are investigated, shortfalls funded and root causes addressed.
- Maintain the CASS breach register, assess materiality, drive remediation and support FCA notifications.
- Own the monthly CMAR submission and act as primary contact for the annual CASS audit.
- Keep the CASS Resolution Pack complete, current and retrievable within regulatory timeframes.
- Partner with Product and Engineering to assess client asset impacts of products, features and system changes.
- Produce CASS management information, deliver organisation-wide training and track FCA developments.
- Support due diligence and periodic reviews of banks and custodians, and maintain acknowledgement letters and mandate registers.
View Full Description & ApplyYou'll be redirected to the employer's site
