UBS Financial Services CASS and Transfer Agency Support in London, United Kingdom

Job Reference #:


Business Divisions:

Asset Management

Your role:

Would you like to be our representative for FCA CASS 'centre of excellence'? Do you have a proven experience in CASS lead support function? We are looking for someone like that to:

-support the management of internal and external Transfer Agency operational controls and processes relating to UK Funds and Client Money to ensure that they are managed in accordance with industry guidelines and regulations

-assist with the oversight and due diligence performed on third party administrators providing outsourced services generally and specifically those impacted by CASS

-provide support to the CF10a working with key stakeholders within the business and externally with service providers, auditors and when necessary the regulator

-undertake daily monitoring of client money operations and provide escalation and reporting of CASS issues to the CF10a and CASS Governance (review all CASS breaches extracting themes and trends to be noted)

-ensure the firm’s CASS manual and resolution pack remains complete and fit for purpose, and be responsible for the enhancement and refinement of existing procedures/practices

-lead the co-ordination of the annual CASS assurance review and audit, as well as undertake thematic reviews at our service providers to ensure that their processes in relation to client money and assets comply with the CASS rules

-assist in the provision of reporting to the appropriate committees/boards in respect of the CASS oversight and ensure the Client Money and Asset Return (CMAR) are accurate and comply with any new rules or guidance (also provide leadership to efforts to further automate the CMAR processes)


CASS and Transfer Agency Support



Job Type:

Full Time

Country / State:

United Kingdom

Function Category:


What we offer:

Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Why UBS? Video

Take the next step:

Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.

Disclaimer / Policy Statements:

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

Your team:

The primary role of the UK Product Control team is to ensure that operational standards delivered by Transfer Agency service providers to the UBS funds are maintained in accordance with UBS requirements and that all operational and regulatory requirements for the funds are met. We are also responsible for the oversight of all Client Money (CASS) related functions performed across the Firm, together with those outsourced to Transfer Agency Service Providers. You will report into Head of UK Fund Product Control, and as a key member of the team, will be primarily responsible for providing CASS SME support to the CF10a in the direct supervision and operational oversight of internal and outsourced operational processes and controls performed by, or on behalf of, UBS Asset Management (UK) Ltd and UBS Asset Management Funds Ltd.

Your experience and skills:

You have:

-several years of recent experience working within a CASS function at one of the leading asset management firms

-an excellent working knowledge of the FCA's CASS regime and how it applies in practice to an asset manager

-a university degree from a leading institution

You are:

-an excellent communicator, with strong presentation and interpersonal skills

-self-motivated, driven and able to work independently, as well as a part of a team

-a mature individual with a desire to improve processes and create and maintain momentum

-fluent in English

About us:

Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.

We are about 60,000 employees in all major financial centers, in almost 900 offices and more than 50 countries. Do you want to be one of us?