CASS Specialist and Control Relationship Manager

  • Competitive / Market rates
  • London, England, United Kingdom London England GB
  • Contract, Full time
  • UBS.
  • 05 Mar 18 2018-03-05

The CASS Adherence team sits within the UK Service Delivery team and supports senior management in ensuring client assets regulation within the region is understood and adhered to. The CASS SME will need to support the Senior Manager in executing their responsibilities.

We're looking for a CASS Specialist / Control Relationship Manager, to join our team in London. This is an opportunity for a contractor to join a long term project and have a real influence over direction of the team.


Role: CASS Specialist / Relationship Manager

Location: City of London

Duration: 6 months rolling

Rate: Competative


The CASS Adherence team seeks to establish a collaborative working partnership across Group Operations, C&ORC and the COO communities that sit within the business.  Through these relationships CASS Adherence seek to maintain a sustainable and robust CASS control framework. The Advisory & Control Relationship Manager's responsibilities are varied and comprehensive but can be broken down into the following main areas:

Regulatory  Maintenance robustness

  • Act as an independent line of defence/gatekeeper of UBS's regulatory adherence to the CASS rules and to check and challenge the application of the rules
  • Ensure consistency, accuracy, and coherence across functional areas for CASS controls
  • Responsible for testing the design and operating effectiveness of run-the-bank (RTB) controls

Stakeholder relationships & communication

  • Empower Subject matter Experts (SME'S) to understand and challenge the controls and quality thereof
  • Deliver training and problem solving to all stakeholders as requested/required
  • Assist functional teams in their application of existing and new rules

Conduct and Behaviour expectations:

  • Ensure that procedures are accurately maintained on a regular basis.
  • Ensure all control issues are escalated appropriately 



- Must have a through / extensive knowledge of CASS

- Previous Investment Banking experience is beneficial

- Operations background is preferred to a compliance background

- Audit experience is also beneficial


If you'd like to know more about the above position, please respond ASAP with an updated CV and I'll get back to you.


Many thanks