Cass Oversight Officer

3 weeks ago

London, United Kingdom Upvest Full time

Upvest, founded in 2017, enables any financial institution to offer great investment experiences to its customers. Upvest is an investment firm regulated by the German supervision authority (BaFin). The company currently employs 160+ people across Europe with its headquarters based in Berlin, Germany.

The company is backed by the world’s largest venture capital funds and investors including BlackRock, Bessemer Venture Partners, Earlybird, Notion Capital, HV Capital, and Motive Ventures, as well as by renowned fintech entrepreneurs, including Maximilian Tayenthal, founder of N26, and Felix Haas, founder of IDnow.

We’re looking for fintech enthusiasts to join us in creating the financial infrastructure of tomorrow. We’re building the first European Investment API to enable any financial institution offering a wide range of efficient and transparent investment products, such as stocks and ETFs in nominal, portfolio, and fractional form. Our mission and vision is to make investing as easy as spending money.

The position will be based in London for Upvest Securities Ltd. with remote possibilities within the UK.

**Your mission**
- Building an easily accessible investment product with regulatory excellence reaching 100m end users
- Uniting fast growth and compliance for Upvest and its clients
- Driving the implementation of CASS compliance while providing technical advice to product and operations department

**Key responsibilities**
- Act as the liaison to the regulator on matters relating to Client Money andAssets and become the appointed CASS Oversight Officer towards the FCA
- Provide technical advice on CASS compliance to business and support functions while promoting regulatory awareness
- Design, develop and implement efficient control processes to ensure compliance with FCA CASS regulations
- Review changes to CASS rules and assessing their impact on the firm’s processes and responding to requests from FCA and auditors
- Implement and oversight of CASS processes across stakeholder groups including the CASS Resolution Pack and the Client Money & Assets Return
- Design and conduct quality assurance testing to ensure ongoing compliance
- Develop client asset policies and ensure they are formally documented
- Oversight and approval of daily client money and custody asset reconciliations

**About you**
- 5+ years of experience in financial services firms regulated by FCA
- Experience within a CASS Oversight function (CF10/CF10a or SMF 16/17 functions are beneficial) and/or experience of working in CASS firm audits
- Solution oriented personality and eager to build CASS compliant process with the product and operations department
- Advanced knowledge of UK CASS regulations, gained through experience in financial services or an industry practitioner
- Experience with working in regulatory/operational functions within a financial services firm, including knowledge of trade flows and the management of control processes
- Detailed understanding of the UK regulatory environment
- Excellent awareness of regulatory risk and control mechanisms

**Why Upvest?**
- We're working on solving a hard problem: fixing the European securities financial infrastructure that empowers more people to be able to invest. You have the opportunity to contribute to this change.
- We invest in you. From access to a personal coach, development budget and plenty of opportunities to grow in your role.
- We take hiring seriously with a strong focus on keeping a high bar when interviewing (equally important is that we hire decent people, who are passionate about their craft and helping us achieve our shared mission).
- While we're not quite fully-remote, we are committed to being a flexible employer, as we understand you don't have to be in the office to do your best work.
- We live in a culture of empowerment, trust (that we hire the best people and get out of their way) and openness (there's a greater advantage in sharing information than keeping it to ourselves).

**Our values**:

- ** Learn and grow.** We aim high to shape our future. We give and request honest feedback knowing that we develop together. Progression over Perfection.
- ** Team first.** We make it easy for others. We value our differences and are open to others' opinions. We win and celebrate together Team over Egos.
- ** Own the outcome.** Whether we win or we lose, we stand together. We are proactive and get the job done. Outcome over Process.
- ** Tell the story.** We always start with the why. We share knowledge to empower others. Transparency over Complexity.

Upvest is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees

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