CASS Governance & Oversight Manager

Trading 212 UK Ltd.

Job Overview

Location

London

Job Type

Full-time

Full Job Description

📋 Description

• The CASS Governance & Oversight Manager plays a critical role in ensuring the effective governance, oversight, and ongoing compliance of Trading 212’s Client Assets (CASS) framework.
• The successful candidate will provide independent challenge, structured oversight, and assurance over CASS processes, controls, and third-party arrangements.
• The role involves supporting the effective oversight of the firm’s CASS control framework, ensuring compliance with FCA Client Assets Sourcebook (CASS) requirements.
• The candidate will support the ongoing development and embedding of a strong CASS culture across the business, ensuring a pragmatic and collaborative approach to oversight.
• The role includes acting as a key point of contact for CASS-related queries and escalations, monitoring daily, weekly, and monthly client money and custody asset reconciliations, and assisting in identifying control gaps through regular CASS health checks and thematic reviews.
• The CASS Governance & Oversight Manager will oversee the identification, assessment, investigation, and remediation of CASS incidents and breaches, coordinate root cause analysis, and ensure appropriate corrective and preventative actions are agreed, tracked, and completed.
• The role involves owning and managing the CASS Committee calendar, agenda planning, and paper submissions, preparing, reviewing, and challenging CASS Committee packs, and tracking committee actions to completion.
• The CASS Governance & Oversight Manager will maintain, and oversee the collation of CASS Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs), analyse trends, emerging risks, and control weaknesses, and produce regular management information and governance reporting for senior stakeholders.
• The role includes overseeing CASS-relevant third-party relationships, including banks, custodians, and service providers, coordinating due diligence reviews, ongoing monitoring, and oversight activities, and managing third-party portal access, acknowledgement letters, Powers of Attorney (POAs), and contractual documentation.
• The CASS Governance & Oversight Manager will review and assess CASS-relevant agreements to ensure compliance with regulatory requirements, provide oversight and challenge over contractual changes impacting client money or custody arrangements, and work closely with Legal and Procurement teams to ensure CASS considerations are appropriately embedded.
• The role involves owning and maintaining CASS control documentation, including control maps, oversight frameworks, and evidencing standards, overseeing the drafting, review, and maintenance of CASS policies and procedures, and supporting internal and external audits, regulatory reviews, and assurance activities.
• The CASS Governance & Oversight Manager will maintain and keep current the CASS Resolution Pack (CASS 10), coordinating updates with Operations, Finance, and Technology as the business evolves.

🎯 Requirements

• 5+ years experience in a CASS oversight role within first or second line of defence or within an audit practice.
• Strong working knowledge of FCA CASS rules (Client Money and/or Custody).
• Experience in governance, oversight, assurance, or audit-style reviews.
• Strong stakeholder management skills with the ability to challenge constructively.
• Excellent written and verbal communication skills.
• Strong organisational skills and attention to detail.
• Audit or assurance background (internal or external).
• Experience supporting regulatory interactions or audits.
• Strong Excel, data analysis and SQL skills.
• Experience producing management information and governance reporting.

🏖️ Benefits

• Challenges that will help you grow and realize your potential fast.
• Opportunity to make a significant impact - you will build innovative services used by millions of investors to build wealth.
• Work with smart, spirited, helpful, high-performing colleagues with a common goal.
• An environment where nothing is set in stone.
• Appreciation for your talent and ideas.
• Generous remuneration package

Skills & Technologies

Onsite

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Trading 212 UK Ltd.

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About Trading 212 UK Ltd.

London-headquartered fintech offering commission-free stock, ETF and CFD trading via web and mobile platforms. Regulated by the FCA and other European authorities, it serves retail investors in the UK and EU with fractional shares, ISAs, and multi-currency accounts. Features include automated investing, pies for portfolio building, and real-time market data. Since 2004, it has onboarded millions of users, focusing on transparent pricing and user-friendly technology.

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