Governance & Controls Analyst – 12-Month FTC

Barclay Simpson; Harrogate; On-site; GBP 40,000 - 55,000; Full time

Job summary

A leading investment operations firm in Harrogate seeks a Governance & Controls Analyst for a 12-month contract. The role involves managing operational breaches, regulatory reporting, and committee documentation. Ideal candidates will have a background in regulated financial services and strong governance knowledge. This position promotes continuous learning and offers opportunities for internal mobility after contract completion.

Benefits

Exposure to regulatory reporting

High-functioning governance team

Structured process-driven environment

Qualifications

• Experience with governance frameworks and risk systems.
• Knowledge of UK/EU regulations (COBS, COLL, CASS, MIFID).
• Strong incident logging and root cause analysis skills.

Responsibilities

• Triage and log operational breaches and errors.
• Produce MI dashboards and manage regulatory reporting.
• Facilitate committee meetings and manage documentation.

Skills

Governance frameworks

Risk systems knowledge

Incident logging

Root cause analysis

Organisation skills

Time management

Communication skills

Job description

Sorry, applications for this particular Job have now closed.

About the Company: Join a forward-thinking, people-first organisation where collaboration, inclusivity, and teamwork are valued.

Governance & Controls Analyst – 12-Month FTC

Join a governance and controls function within a leading investment operations team. This 12-month contract role supports business-as-usual (BAU) activities while also providing opportunities to engage in strategic initiatives.

Key areas of responsibility include:

• Incident & Error Management: Triage, investigate, and log operational breaches and errors.
• Governance Reporting: Produce MI dashboards, manage regulatory reporting (e.g., Depositary reports).
• Committee Support: Handle meeting packs, actions tracking, and governance documentation.
• Regulatory Oversight: Ensure compliance with key UK/EU regulations (COBS, COLL, CASS, MIFID).
• Assurance Activities: Participate in market oversight, controls testing, and monitoring.
• Project Support: Contribute to outsourcing reviews or internal process improvements.

What You’ll Need to Succeed

Essential: Experience working with governance frameworks and risk systems (e.g., iCare, RED), knowledge of UK/EU regulations (especially COLL, CASS, MIFID, UCITS), strong incident logging and root cause analysis skills, excellent organisation, prioritisation, and time management, and comfort preparing governance packs and facilitating meetings.

Desirable: Background in Financial Services (ideally investments), experience working with third-party administrators or outsourced service providers, and exposure to governance boards or company secretariat-style tasks.

Team & Reporting Line

You’ll report into a seasoned manager with a background in transitions and governance. The broader team is experienced (3+ years average tenure), collaborative, and supportive — ideal if you’re looking to learn or sharpen skills in a BAU-heavy environment.

This hire will be backfilling a secondment, so it’s a vital role for ensuring continuity and operational resilience.

Typical Day-to-Day

• Monitor shared mailbox for new breach/error reports.
• Investigate incidents, assess root cause/impact, and document accordingly.
• Prepare MI for senior stakeholders and governance committees.
• Manage or support class action claim processes.
• Coordinate committee meetings, track actions, and prepare documentation.
• Assist with control testing and oversight of outsourced suppliers.
• Support BAU and change projects across investment operations.

Who This Role Will Suit

• Someone from a regulated financial services background.
• Strong on governance, risk, or compliance processes.
• Analytical, methodical, and detail-focused.
• Confident communicator — comfortable engaging with stakeholders and suppliers.
• Interested in a structured, process-driven environment with plenty of operational variety.

Why Apply?

• Join a high-functioning governance team in a respected investment operations unit.
• Gain exposure to breach management, regulatory reporting, and control frameworks.
• Enhance your profile within asset management and operational risk.
• Opportunity to apply internally post-contract (strong internal mobility culture).

We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics.