Risk & Controls Operations Associate — Hybrid + Equity

United States Digital Space LLC; Greater London; Hybrid; GBP 55,000 - 75,000; Full time

Benefits offered by this job

Equity: Initial grant of stock options

Annual salary reviews

30 days annual leave

Private medical and dental insurance

Job summary

Investa is seeking a Risk and Controls Operations Associate to act as the first line of regulatory and operational control for our trading platform. You will work with the Head of Risk & Compliance and the founders to execute daily CASS, onboarding operations, and financial crime controls as we scale.

The role bridges regulatory oversight with practical execution, ensuring FCA standards are met while onboarding new platforms and expanding custody capabilities.

Qualifications

• 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 onboarding, 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.

Responsibilities

• Risk & Control Operations CASS Reconciliations: Perform daily internal & external CASS reconciliations across the company’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.
• 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.

Skills

Regulatory framework knowledge

CASS reconciliation

Analytical mindset

Office & Google suite

Tools

Jira

Job description

Investa is seeking a Risk and Controls Operations Associate to act as the first line of regulatory and operational control for our trading platform. You will work with the Head of Risk & Compliance and the founders to execute daily CASS, onboarding operations, and financial crime controls as we scale.

The role bridges regulatory oversight with practical execution, ensuring FCA standards are met while onboarding new platforms and expanding custody capabilities.