Risk & Controls Analyst, Global Broking

TP ICAP; London; On-site; GBP 40,000 - 50,000; Full time

Job summary

A financial services firm in London is seeking a Risk & Controls Analyst to provide oversight across business operations. This role involves evaluating control frameworks, identifying risks, and ensuring policy compliance. Ideal for recent graduates or those with a few years of experience, applicants should possess strong communication skills and familiarity with risk management practices. The position offers an opportunity to grow within a dynamic environment.

Qualifications

• Understanding of Risk Management and Conduct Frameworks.
• Experience in a 1st Line of Defence control or risk-related role.
• Motivated to develop professionally in the risk and controls domain.

Responsibilities

• Act as primary point of contact for the FORM team.
• Evaluate and enhance front office control frameworks.
• Identify and escalate risks, policy breaches, and conduct issues.

Skills

Risk Management understanding

Collaboration with 2nd or 3rd Line functions

Communication skills

Organisational skills

Microsoft Office skills

Knowledge of Power BI

Education

Recent graduate or relevant experience

Tools

Risk reporting systems

Power BI

Job description

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Client:

TP ICAP

Location:

London, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Reference:

f64889836d0e

Job Views:

Posted:

Expiry Date:

25.09.2025

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Job Description:

Role Overview

The Front Office Risk Management (FORM) Control team acts as a central hub for business-critical analysis, providing governance and oversight across all TP ICAP business and functional areas. The team is responsible for monitoring policy adherence, recommending operational efficiencies, and tracking the implementation of control-related solutions.

The Risk & Controls Analyst plays a pivotal role in reviewing and documenting internal processes and controls to ensure effective oversight and compliance with corporate policy within the 1st Line of Defence. This role is key to embedding the Group’s Enterprise Risk Management Framework (ERMF) and fostering a strong governance culture.

We believe this role is ideally suited for recent graduates or individuals with up to a few years of professional experience who are eager to develop their skills and grow within a dynamic environment.

Key Responsibilities

Serve as a primary point of contact for the FORM team, providing day-to-day support to the Head of EMEA GB FORM and FORM Officers across operational and project work.

Collaborate with business leaders to evaluate and enhance front office control frameworks.

Support the consistent application of the FORM and Conduct Frameworks across the region.

Coordinate and deliver control attestations, desk mandate validations, and targeted reviews.

Identify, monitor, and escalate emerging risks, policy breaches, and conduct-related issues.

Maintain oversight of incidents and remediation actions, ensuring timely escalation and resolution across asset classes.

Assist in analysing market events and assessing their impact on broking activity and associated risks.

Work closely with 2nd Line of Defence functions (Risk, Compliance) and 3rd Line (Internal Audit) to support 1st Line accountability—particularly within Operational Risk.

Use risk systems to improve Management Information (MI), including dashboard reporting and development of Key Control Indicators (KCIs).

Conduct focused reviews in response to specific risks or concerns.

Promote the FORM team’s objectives and help foster a culture of integrity, inclusion, and collaboration.

Track and report on policy breaches, supporting the firm’s Culture and Conduct agenda—including initiatives such as SMCR assessments.

Support the delivery of risk, control, and conduct training and engagement activities.

Provide EMEA-specific insights and updates to the Global Head of FORM, contributing to global visibility and alignment of risk management practices.

Experience / Competencies

Understanding of Risk Management and Conduct Frameworks.

Experience collaborating with 2nd or 3rd Line of Defence functions.

Demonstrated interest or experience in risk, controls, or operational governance within financial services.

Robust in-person and digital communication skills with the ability to build relationships and influence stakeholders at all levels.

Confident in facilitating discussions, negotiating outcomes, and driving meaningful change.

Collaborative and proactive team contributor with a solutions-focused mindset.

Excellent organisational and time management skills, with the ability to meet tight deadlines while maintaining high attention to detail.

Skilled in Microsoft Office applications (Excel, Word, Outlook, PowerPoint).

Comfortable using or learning risk reporting systems and tools.

Recent graduate or those with up to a few years of relevant professional experience.

Experience in a 1st Line of Defence control or risk-related role within a financial institution.

Working knowledge of Power BI or similar data visualisation tools.

Understanding of front office environments or broking operations.

Motivated to develop professionally in the risk and controls domain.

Exposure to SMCR (Senior Managers and Certification Regime) compliance processes.