Risk and Controls Operations Associate

About the role

Investa is seeking a Risk and Controls Operations Associate to serve as the first line of regulatory and operational control for their trading platform. This role involves managing day-to-day execution of operational controls, including CASS oversight, onboarding operations, financial crime monitoring, and execution control. The successful candidate will work closely with the Head of Risk and Compliance and the Co-Founders to ensure adherence to FCA standards.

Responsibilities

• Perform daily internal and external CASS reconciliations to prevent breaches.
• Maintain audit-ready compliance records and assist in preparing regulatory returns.
• Manage the day-to-day onboarding queue, including KYC/AML document reviews and high-risk escalations.
• Organise high-risk client reviews and conduct enhanced due diligence.
• Manage sensitive customer cases under the vulnerable customer framework and Consumer Duty standards.
• Gather key performance indicators for committee reporting and oversight.
• Review and approve marketing campaigns and product copy for FCA compliance.
• Provide first-line review of trade surveillance alerts for signs of market abuse.

Required skills

• CASS
• Consumer Duty
• Anti-Money Laundering
• Trade operations
• KYC
• Trade surveillance
• Excel
• Google Sheets

Nice to have

• Retail investment platforms
• Derivatives markets
• Jira
• Case management software
• Third-party clearing integrations

Qualifications

• 2+ years of hands-on experience in trade operations or controls support at a regulated firm, FinTech, investment platform, or broker

Certifications

• CISI

Benefits

• Company equity
• 30 days annual leave
• Private medical insurance
• Private dental insurance
• Private gym
• Rooftop terrace
• Daily tea, coffee and snacks
• Team lunches
• High-spec MacBook
• Equipment budget

About the Company

Investa is building the UK’s first zero-commission Options and Stocks trading platform. They are a lean, agile team focused on providing a streamlined alternative to legacy platforms for retail investors.