Client Controls Business Associate

RBC Brewin Dolphin; Newcastle upon Tyne; Hybrid; GBP 45,000 - 65,000; Full time

Benefits offered by this job

Hybrid/Office balance

Job summary

RBC Brewin Dolphin is seeking a Client Controls Associate for the Chief Administration Office, based in Newcastle or London, with the role primarily in-office and up to one day remote per week.

You will join the Front Office Risk Governance and Business Management team, supporting risk identification, regulatory compliance, and control assurance across client-facing operations. The position offers hybrid work with a focus on risk and controls, reporting to the Client Controls Manager.

Qualifications

• Experience in risk and controls in a front-office environment.
• Strong understanding of risk and effective controls.
• Ability to communicate with senior stakeholders and maintain relationships.
• Strong analytical and problem-solving skills.

Responsibilities

• Support execution of the Operational Risk Framework for RBC BD Front Office, including RCSAs at risk and process levels.
• Assist identification and development of process enhancements and smarter outcomes.
• Support product owner for Fees, including Fee Anomalies and related tooling oversight.
• Map key and non-key controls to regulatory risk themes and support annual risk questionnaires.

Skills

Front Office Risk

Stakeholder Communication

Analytical Thinking

Problem Solving

Job description

What is the opportunity?

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

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. The Client Controls Associate reports to the Client Controls Manager and is part of the Front Office Risk Governance and Business Management team in CAO. The team, play a key role in supporting client facing teams by Identifying business risks, operating events and regulatory triggers which could have an impact on the operation of the Front Office and Client Risk. The team are responsible for aligning and maintaining the standards set across WME related to the management of digital Risk and Controls Self Assessments (RCSA’s), Regulatory Compliance Management (RCM) framework and annual attestation as well as the regular maintenance of the Front Office Controls Register. The team are also expected to support investigation related to emerging risks and manage a framework to govern business changes against the expectations set by the RBC Risk Taxonomy and compensating controls. In addition, the role holder is also responsible as a product owner for Front Office Fees. This relates to the ongoing oversight and support needed to maintain BAU from a Fees tooling perspective and includes the management of the Fee Anomalies, FIT tool (FIF/A support as required), Fee Bots and comparison tools. The Associate is also expected to attend the relevant governance forums and committees which requires a Fees product owner to represent oversight of the status, risks and actions.

RBC’s expectation is that all employees and contractors will work in the office with some flexibility to work up to 1 day per week remotely.

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.

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.