Control Manager - Vice President - Personal Investing Operations
On-siteLondon, England, United Kingdom
Job Summary
Design and implement robust control frameworks aligned to regulatory expectations and internal policies. Partner with stakeholders to identify, assess, and mitigate risks across new and existing products, performing deep-dive risk assessments for Operations processes and change initiatives. Monitor control performance, evaluate effectiveness, and recommend enhancements while managing the end-to-end lifecycle of regulatory, audit, compliance, and operational risk issues from identification through remediation and closure. Identify control gaps, root causes, and practical actions to strengthen the risk and control environment, preparing executive-level reporting and dashboards to communicate themes and outcomes. Build and maintain strong relationships with senior leaders and cross-functional partners to foster a proactive risk culture.
Required Qualifications
- Strong experience in operational risk management, controls, compliance, audit, and/or wealth management
- Demonstrated ability to identify risks and implement effective controls for both BAU activity and new product initiatives
- Strong written and verbal communication skills with the ability to influence stakeholders at all levels
- Experience partnering with business stakeholders to remediate operational risk issues and deliver measurable outcomes
- Strong understanding of wealth management products and services, relevant regulations, and associated risks
- Knowledge of trade lifecycle processes and ability to articulate control requirements (e.g., trade execution, capture, settlement)
- Strong knowledge of FCA requirements and regulatory expectations, including Suitability & Appropriateness, CASS, and Consumer Duty
- Ability to translate process risks into risk and control heatmaps and communicate themes clearly to senior audiences
- Proven time management and prioritization skills; able to navigate multiple deliverables in parallel
- High attention to detail, accuracy, and integrity
- Proficiency in Microsoft Office (Word, Excel, PowerPoint, Visio)
Desired Qualifications
- Understanding of control testing methodologies and experience operating within mature risk and control programs
- Experience partnering with Internal Audit, Compliance, Operational Risk, and Regulatory stakeholders
- Familiarity with governance, risk, and control (GRC) systems, tools, and processes
- Experience leading teams and/or coaching colleagues
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