Operational Risk and Controls

  • Market rate
  • London, England, United Kingdom
  • Permanent, Full time
  • Saxton Leigh
  • 13 Mar 19

Our client is a leading global provider of alternative asset and corporate administration services.


  • Contributing to the development & production of the monthly First Line of Defence Risk Report for the Client Services & Group Services Risk Committee.
  • Provision of FLOD Reporting to the quarterly regulated Board(s).
  • Contribute to the Identification, design & maintenance of Key Risk Indicators.
  • Provide insight and trend analysis on Risk MI to identify emerging issues.
  • Responsible for the analysis of regional risk MI and metrics used to inform decision making.
  • Secretariat for the regional Risk Escalation Forum.
  • Issue Management governance – including the timely recording of new issues, action plans, action updates and issue closures on the Ops Risk Control system.
  • Supporting issue and action owners in the business to close control gaps and issues on a timely and robust basis.
  • Promote a risk aware culture in the First Line of Defence that supports the pro-active identification and management of risks faced by the business.
  • Support the roll out of the First Line control testing methodology and framework to the region
  • Support the Controls Framework Manager in the completion of controls testing in the region
  • Document required control test results, engaging key stakeholders as part of test approval
  • Execution of regional control testing
  • Identify opportunities for self-testing (on-team testing) and support introduction
  • Perform control adequacy and effectiveness assessments following the completion of testing, considering read across opportunities where required.
  • Complete local risk reviews as required and input into cross jurisdiction reviews, under the direction of the global Risk Response Director
  • Support regional risk escalation process, promoting quality submissions and advising the business teams on risk mitigations and strategies
  • Support regional incident, breaches, errors, oversight processes and ensure compliance with relevant policies and procedures
  • Actively support the Head of First Line Risk in the implementation of the risk framework and the management of risk in the First Line of Defence.



  • Experience in the financial services industry, either in a fund administration or risk and control role
  • Highly developed communication and influencing skills with the ability to engage and build relationships at all levels, including senior management.
  • Experience of operating within a Three Lines of Defence Risk Management Framework (desirable)
  • Proven track record of operating successfully within a global financial organisation.