Regulatory Risk & Controls Associate – FinTech Trading

Academic Key; Greater London; Hybrid; GBP 55,000 - 75,000; Full time

Job summary

Investa is building the UK's first zero-commission options and stocks trading platform. As Risk & Controls Operations Associate, you will own daily CASS reconciliations, onboarding operations, and financial crime monitoring, while ensuring FCA-aligned controls as we scale.

You will work with the Head of Risk & Compliance and Co-Founders in a hybrid London setting, handling KYC/AML reviews, regulatory reporting, and incident management to maintain strong governance and client protection.

Qualifications

• 2+ years in trade operations or controls at a regulated firm, FinTech, or broker.
• Strong knowledge of CASS, Consumer Duty, Systems & Controls, and AML.
• Experience executing CASS reconciliation workflows and trade surveillance.
• Analytical mindset with high attention to detail and practical judgement.
• Proficient in Office and Google-based software (Excel, Sheets, Docs).
• Desirable: experience with retail investment platforms and Jira.
• CISI or equivalent qualification in financial services or regulatory modules.

Responsibilities

• Own day-to-day onboarding queue, perform KYC/AML reviews and risk assessments.
• Manage CASS reconciliations and prepare regulatory returns and logs.
• Conduct financial crime monitoring and enhanced due diligence reviews.
• Support vulnerable client cases in line with Consumer Duty and policy.
• Provide first-line trade surveillance reviews and audit trails.
• Gather MIS data for committee reporting and oversight.
• Assist with regulatory change implementations across the UK and beyond.
• Coordinate with vendors on third-party risk and incident closures.

Skills

Regulatory knowledge

Analytical thinking

Attention to detail

Office/Google Suite

Jira

KYC/AML

Trade surveillance

Education

CISI or equivalent qualification

Tools

Jira

Regulatory reporting tools

Job description

Investa is building the UK's first zero-commission options and stocks trading platform. As Risk & Controls Operations Associate, you will own daily CASS reconciliations, onboarding operations, and financial crime monitoring, while ensuring FCA-aligned controls as we scale.

You will work with the Head of Risk & Compliance and Co-Founders in a hybrid London setting, handling KYC/AML reviews, regulatory reporting, and incident management to maintain strong governance and client protection.