[All remote jobs](https://jobicy.com/jobs.md)[![Upvest logo](https://jobicy.com/data/server-nyc0409/galaxy/mercury/2025/06/ca06e577-221.png)](https://jobicy.com/company/upvest.md)[Upvest](https://jobicy.com/company/upvest.md) # CASS Oversight Manager (f/m/d) AI Summary The CASS Oversight Manager owns the client-assets control framework for a regulated investment infrastructure provider. The role oversees client-money calculations, reconciliations, breach remediation, CMAR reporting, the CASS Resolution Pack, and annual audit readiness. It partners closely with Product, Engineering, Compliance, Operations, clients, banks, custodians, and external auditors to embed CASS requirements into scalable systems and processes. Success requires deep FCA CASS expertise, sound regulatory judgement, and the ability to translate rules into practical operational controls. The position is a senior individual-contributor oversight role with substantial ownership and visibility to risk governance.[Apply for this job](#job-application)[View company](https://jobicy.com/company/upvest.md)ShareRemote from[UK](https://jobicy.com/job-region/uk.md)SalaryUndisclosedDepartment[Legal & Compliance](https://jobicy.com/categories/legal.md)EmploymentFull TimeExperienceSeniorPublished9 Nov 2026Apply before9 Dec 2026Listing views32Application actions0Application toolkit ## Make your next move. Prepare your resume, explore your fit, and draft a cover letter for this opportunity. Opportunity details ## About this role. At [Upvest](https://jobicy.com/company/upvest.md), we are on a mission to make investing as easy as spending money. Upvest empowers businesses to offer a wide range of investment products and the best experience in the field of capital market investment and retirement planning. Upvest’s Investment API is easy to integrate so that fintechs and financial institutions can save resources and fully focus on their core business. We are proud to partner with Europe’s leading Fintechs and financial institutions such as DKB, Revolut, N26 and Raisin. Founded in 2017 by Martin Kassing, Upvest now brings together over 270 talented professionals from more than 70 nationalities. Upvest is backed by €280M in total funding from world-class investors, including BlackRock, Tencent, Sapphire Ventures, and Bessemer Venture Partners, Earlybird, Notion Capital, and Motive. Our latest €105M funding round in March 2026 – led by Sapphire and Tencent – serves as a massive catalyst for our growth, allowing us to offer premier investment experience. ### About the role: As the CASS Oversight Manager, you are responsible for ensuring that client money and custody assets held by Upvest Securities are protected, segregated and accounted for in full compliance with the FCA’s Client Assets Sourcebook (CASS). You will act as the primary day-to-day authority on CASS, bridging the gap between complex regulatory requirements, our operational processes, our client’s needs and our scalable investment API. You will work closely with Product, Engineering, Compliance, Client and Operations teams to ensure our client asset framework remains robust, evidenced and audit-ready, enabling Upvest to scale its financial infrastructure to millions of end-users while maintaining the highest levels of integrity and trust with regulators, clients, and partners. ### What you’ll do: * 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. ### What you bring: * 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. ### It’s great if you have: * 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. ### Our Values: * 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. Upvest is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. Show more [Apply now >](https://jobicy.com/jobs/159916-cass-oversight-manager-f-m-d.md) > Annual salary information is not provided for this position. Explore salary ranges for similar roles in our [Salary Directory ›](https://jobicy.com/salaries.md) * ![Upload CV](data:image/svg+xml;base64,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) ### Upload your resume now To unlock remote work opportunities and be discovered by global employers. This job listing has been manually reviewed by the Jobicy Trust & Safety Team for compliance with our posting guidelines, including verification of the company's legitimacy, accuracy of job details, clarity of remote work policy, and absence of misleading or fraudulent content. ## Role DNA A quick view of the complexity, pace, ownership and collaboration implied by the job description. ### Job Complexity 5/5EasyHard ### Pace & Pressure 4/5RelaxedFast-paced ### Autonomy Level 5/5GuidedFull ownership ### Communication Load 5/5IndependentCollaborative AI insightThis is a highly specialised regulated-finance role involving strict FCA CASS obligations, daily reconciliations, regulatory reporting, and audit accountability. Errors can create client-asset, regulatory, and reputational risk, so expert judgement and rigorous controls are essential. ## Salary analysis Estimated compensation compared with the broader US market for similar roles. Estimated job median (per year)Market rate$125,000US market range (per year)$105k–$150k0$165k AI insightThe yearly pay period is inferred from the job context; it was not explicitly stated by the employer. No employer base salary was disclosed. The yearly figures are AI-estimated USD market guidance for a senior CASS oversight and regulatory-controls manager; the yearly cadence is inferred from the full-time senior professional role. ## Core skills Skills and capabilities most closely associated with this opportunity. [FCA CASS](https://jobicy.com/jobs?search_keywords=FCA%20CASS.md)[Client money calculations](https://jobicy.com/jobs?search_keywords=Client%20money%20calculations.md)[Custody asset reconciliation](https://jobicy.com/jobs?search_keywords=Custody%20asset%20reconciliation.md)[CASS 6](https://jobicy.com/jobs?search_keywords=CASS%206.md)[CASS 7](https://jobicy.com/jobs?search_keywords=CASS%207.md)[CASS breach management](https://jobicy.com/jobs?search_keywords=CASS%20breach%20management.md)[CMAR reporting](https://jobicy.com/jobs?search_keywords=CMAR%20reporting.md)[CASS Resolution Pack](https://jobicy.com/jobs?search_keywords=CASS%20Resolution%20Pack.md)[Regulatory compliance](https://jobicy.com/jobs?search_keywords=Regulatory%20compliance.md)[Internal controls](https://jobicy.com/jobs?search_keywords=Internal%20controls.md)[Audit management](https://jobicy.com/jobs?search_keywords=Audit%20management.md)[Risk assessment](https://jobicy.com/jobs?search_keywords=Risk%20assessment.md)[Stakeholder management](https://jobicy.com/jobs?search_keywords=Stakeholder%20management.md)[Financial services operations](https://jobicy.com/jobs?search_keywords=Financial%20services%20operations.md) Sample interview questionsHow would you investigate and remediate a break identified during a daily client-money reconciliation?I would validate the data sources and calculation logic, quantify the break, determine whether a client-money shortfall exists, and ensure any required funding occurs promptly. I would document the incident, assess its materiality, identify root cause, implement corrective actions, and escalate or notify the FCA where required. What makes an effective CASS controls matrix? An effective matrix maps each applicable CASS obligation to a clearly defined control, owner, frequency, evidence source, escalation route, and testing approach. It should be regularly updated for regulatory changes, product changes, new custodians, and operational incidents. How would you work with Engineering when launching a feature that affects payment or custody flows? I would engage early to map the end-to-end flow of money and assets, identify CASS obligations and failure scenarios, and translate them into testable system and operational requirements. Before launch, I would require evidence that ledgers, segregation logic, reconciliations, exception handling, and audit trails support compliant operation. How do you prepare an organisation for a CASS audit? I would maintain an audit-ready evidence library throughout the year, conduct readiness reviews against the controls matrix, verify the accuracy of reconciliations and the Resolution Pack, and track prior findings to closure. I would also coordinate accountable owners and provide auditors with clear, timely documentation and explanations. How would you communicate a complex CASS requirement to non-compliance stakeholders? I would explain the regulatory objective, the practical risk of non-compliance, and the specific decision or behaviour required in plain language. I would use process diagrams, concise control requirements, examples, and clear ownership so teams can incorporate the requirement into their day-to-day work. Next step ## Apply now. Follow the employer’s application method and review Jobicy’s safety guidance before sharing personal information. 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