Risk and Controls Operations Associate

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

Risk and Controls Operations Associate Office Location: Temple, London - hybrid working environment (3 days in office per week) Reporting: Chief Operating Officer About Investa Investa is building the UK’s first zero-commission Options and Stocks trading platform. Legacy platforms typically feature high fees and complex interfaces that cut out the majority of retail investors. We are building a streamlined alternative to fix that. So far, we have raised £3.5 million in funding, secured direct regulatory approval from the FCA, and picked up two major awards in 2026: Best Options Trading App (Good Money Guide) and Best App for Options Trading (ADVFN). Having launched on iOS - reaching 4,000+ total sign-ups - we have now just launched on Android, doubling our addressable market as we scale toward targets of 10,000 users, 100,000, and beyond. Key Platform Traction: 8,000+ trades processed 2,500+ early supporters rewarded for their loyalty 1,000+ shareholders backing our vision 150+ 5-star reviews Our goal is straightforward: Think Options, Think Investa. We are a lean, agile team where every employee directly shapes the business. We don't have a corporate way of working. Instead, we look for people who want high autonomy, care about making a visible impact, and align with our core values of being Collaborative, Curious, and Creative. The Role As our Risk & Controls Operations Associate, you will serve as the first line of regulatory and operational control for Investa’s platform. Working together with our Head of Risk & Compliance and Co-Founders, you will help own the day-to-day execution of our key operational controls spanning CASS oversight, onboarding operations, financial crime monitoring, and execution control. This is a critical, high-visibility role within a fast-scaling financial trading environment. You will bridge regulatory oversight with practical execution: verifying client money flows, resolving dealing and onboarding exceptions, and ensuring our operations adhere strictly to FCA standards as our operating model expands from sub-account clearing into in-house custody. What the role involves 1. Risk & Control Operations CASS Reconciliations: Perform daily internal & external CASS reconciliations across Investa’s client base to prevent breaches and ensure compliance with day-to-day CASS obligations. CASS Reporting & Audits: Maintain audit-ready compliance records, log breaks and CASS breaches, and assist in preparing regulatory returns and notifications when needed. KYC & Onboarding Operations: Own the day-to-day onboarding queue, performing KYC/AML document reviews, appropriateness assessments, and managing PEPs, sanctions, and high-risk escalations. Financial Crime Monitoring: Organise high-risk client reviews assisting with enhanced due diligence, source of funds/wealth checks, and periodic and event driven reviews. Vulnerable Customer Framework: Manage sensitive customer cases as identified in the vulnerable clients policy, ensure good outcomes for clients with support needs, manage key performance indicators for clients in this segment in strict compliance with Consumer Duty standards and internal policies. 2. Business Oversight & Governance Support Management Information: Own and gather key performance indicators covering all aspects of the business for committee reporting and oversight. Financial Promotions: Review and approve marketing campaigns, product copy, and social media promotions to ensure strict alignment with FCA Financial Promotion and Consumer Duty rules. Regulatory Change: Assist in implementation of regulatory change in the UK or elsewhere to ensure compliance with new rules that apply to the Firm. Third Party Risk Management: Point of contact for vendors and outsourcing partners to oversee and coordinate information sharing for incident closure & customer support. Trade surveillance: Provide first line review of alerts generated through trade surveillance for signs of market abuse. Oversee the closure of alerts and applicable audit trail. Your Background 2+ years of hands-on experience covering trade operations or controls support at a regulated firm, FinTech, investment platform, or broker. Understanding of the regulatory framework surrounding CASS, Consumer Duty, Systems & Controls, and Anti-Money Laundering. Direct experience executing CASS reconciliation workflows, client adoption, and trade surveillance. Strong analytical mindset with high attention to detail and sound, practical judgement. Technical proficiency in Office and Google-based software including excel, Google Sheets, Google Docs. Desirable Prior exposure to retail investment platforms, derivatives markets. Experience using workflow tools like Jira or case management software. Familiarity with third-party clearing integrations (e.g., Interactive Brokers) or regulatory reporting tools. CISI or equivalent qualification regarding financial services, client assets, or regulatory modules. Understanding of EU regul