Client Controls & Risk Assurance 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

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