Client Controls Business Associate

RBC Brewin Dolphin; Greater London; On-site; GBP 60,000 - 90,000; Full time

Job summary

RBC Brewin Dolphin is seeking a Client Controls Associate within its Chief Administration Office, with duties spanning risk controls, process improvements, and regulatory compliance across Newcastle and London offices. You'll support RCSAs, manage control mappings to regulatory themes, and contribute to management information and training delivery for Client Facing Teams.

The role includes attestation tasks and close collaboration with auditors and the Head of Function on data privacy and

Qualifications

• Experience working in a similar industry and keen to progress in the risk and controls area across the Front Office.
• Strong understanding of risk and effective controls.
• Ability to communicate with colleagues and develop and maintain effective working relationships at senior levels.
• Strong analytical and problem solving skills.

Responsibilities

• Support execution of the Operational Risk Framework for RBC BD Front Office, including Risk and Control Assessments (RCSAs) at risk and process levels.
• Support the identification and development of process enhancements (including control enhancements) and development of smarter process outcomes.
• Support product owner for CFT Fees, including the management of Fee Anomalies, Fee Instruction Tool (FIT) and support for FIF/A (as necessary till retiring the tool) as well as oversight and proactive management of Fee related tools (Fee bots, comparison tools, etc).
• Manage the mapping of key & non-key controls to the regulatory risk themes and support Regulatory Compliance with the annual risk questionnaire calculation to develop the regulatory risk assessment for CFT
• Produce and monitor effective and detailed Management Information and other key metrics data, as required.
• Organisation and delivery of targeted training for Client Facing Teams across multiple office locations, where required.
• Deliver monthly and quarterly attestation as required (i.e. Fee anomalies, FSCS attestations)
• Continual review of controls framework to ensure that controls are appropriate for the risk area.
• Assist internal and external auditors, provide support in process walkthroughs and source evidence as required.
• Supporting the Head of Function with regards to Compliance Monitoring / Financial Crime actions / data privacy, data security and Conflicts of Interest related matters and other new regulations (Head of Function may require wider team members to support initiatives depending on priority, severity of risk exposure or as cover where team members may be absent)
• Deliver regular management reporting and clear insight on the effectiveness of implemented solutions of selected end-to-end complex Client Facing processes, including the preparation of meeting materials and artefacts.

Skills

Experience in risk & controls

Communication at senior levels

Analytical & problem solving

Front Office risk experience

Job description

Job Description

We have an exciting opportunity for a Client Controls Associate to join our Chief Administration Office in either our Newcastle or London office.

What will you do?

• Support execution of the Operational Risk Framework for RBC BD Front Office, including Risk and Control Assessments (RCSAs) at risk and process levels


• Support the identification and development of process enhancements (including control enhancements) and development of smarter process outcomes.


• Support product owner for CFT Fees, including the management of Fee Anomalies, Fee Instruction Tool (FIT) and support for FIF/A (as necessary till retiring the tool) as well as oversight and proactive management of Fee related tools (Fee bots, comparison tools, etc).


• Manage the mapping of key & non-key controls to the regulatory risk themes and support Regulatory Compliance with the annual risk questionnaire calculation to develop the regulatory risk assessment for CFT


• Produce and monitor effective and detailed Management Information and other key metrics data, as required.


• Organisation and delivery of targeted training for Client Facing Teams across multiple office locations, where required.


• Deliver monthly and quarterly attestation as required (i.e. Fee anomalies, FSCS attestations)


• Continual review of controls framework to ensure that controls are appropriate for the risk area.


• Assist internal and external auditors, provide support in process walkthroughs and source evidence as required.


• Supporting the Head of Function with regards to Compliance Monitoring / Financial Crime actions / data privacy, data security and Conflicts of Interest related matters and other new regulations (Head of Function may require wider team members to support initiatives depending on priority, severity of risk exposure or as cover where team members may be absent)


• Deliver regular management reporting and clear insight on the effectiveness of implemented solutions of selected end-to-end complex Client Facing processes, including the preparation of meeting materials and artefacts.

What do you need to succeed?

Must-have

• Experience working in a similar industry and are keen to progress in the risk and controls area across the Front Office.


• A strong understanding of risk and effective controls.


• Ability to communicate with colleagues and develop and maintain effective working relationships at senior levels.


• Strong analytical and problem solving skills

Nice-to-have

• Able to take the lead on initiatives and drive solutions


• Intellectual curiosity with desire for self improvement

What is in it for you?

We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• Leaders who support your development through coaching and managing opportunities.


• Opportunities to work with the best in the field.


• Ability to make a difference and lasting impact.


• Work in a dynamic, collaborative, progressive, and high-performing team.

Agency Notice

RBC Group does not accept agency resumés. Please do not forward resumés to our employees, nor any other company location. RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additional details. #RBCBD

Job Skills

Commercial Acumen, Critical Thinking, Customer Relationship Management (CRM), Long Term Planning, Results-Oriented

Additional Job Details

Address: 32 GALLOWGATE:NEWCASTLE UPON TYNE

City: Newcastle Upon Tyne

Country: United Kingdom

Work hours/week: 35

Employment Type: Full time

Platform: WEALTH MANAGEMENT

Job Type: Regular

Pay Type: Salaried

Posted Date: 2026-07-14

Application Deadline: 2026-09-11

Note

Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.