Summary

The risk and controls operations associate runs day-to-day regulatory and operational controls for Investa’s financial trading platform. The role covers client money reconciliations, onboarding, financial crime monitoring and trade surveillance, with a hybrid schedule of three days per week in the London office.

Responsibilities

• Perform daily internal and external CASS reconciliations
• Review onboarding documents and assess client appropriateness
• Escalate high-risk clients and conduct enhanced due diligence
• Maintain audit records and log CASS breaks
• Review financial promotions for FCA and Consumer Duty compliance
• Gather business KPIs for committee reporting
• Review trade surveillance alerts and document closures