Governance & Controls Analyst – 12-Month FTC
Location: York
Contract: 12 Months (FTC)
Start Date: ASAP
The Role at a Glance
Join a governance and controls function within a leading investment operations team. This 12-month contract role supports business-as-usual (BAU) activities while also providing opportunities to engage in strategic initiatives.
Key areas of responsibility include:
* Incident & Error Management: Triage, investigate, and log operational breaches and errors (via shared mailbox).
* Governance Reporting: Produce MI dashboards, manage regulatory reporting (e.g., Depositary reports).
* Committee Support: Handle meeting packs, actions tracking, and governance documentation.
* Regulatory Oversight: Ensure compliance with key UK/EU regulations (COBS, COLL, CASS, MIFID).
* Assurance Activities: Participate in market oversight, controls testing, and monitoring.
* Project Support: Contribute to outsourcing reviews or internal process improvements.
What You’ll Need to Succeed
Essential:
Experience working with governance frameworks and risk systems (e.g., iCare, RED)
Knowledge of UK/EU regulations (especially COLL, CASS, MIFID, UCITS)
Strong incident logging and root cause analysis skills
Excellent organisation, prioritisation, and time management
Comfortable preparing governance packs and facilitating meetings
Desirable:
Background in Financial Services (ideally investments)
Experience working with third-party administrators or outsourced service providers
Exposure to governance boards or company secretariat-style tasks
Team & Reporting Line
You’ll report into a seasoned manager with a background in transitions and governance. The broader team is experienced (3+ years average tenure), collaborative, and supportive — ideal if you’re looking to learn or sharpen skills in a BAU-heavy environment.
This hire will be backfilling a secondment, so it's a vital role for ensuring continuity and operational resilience.
Typical Day-to-Day
* Monitor shared mailbox for new breach/error reports
* Investigate incidents, assess root cause/impact, and document accordingly
* Prepare MI for senior stakeholders and governance committees
* Manage or support class action claim processes
* Coordinate committee meetings, track actions, and prepare documentation
* Assist with control testing and oversight of outsourced suppliers
* Support BAU and change projects across investment operations
Who This Role Will Suit
* Someone from a regulated financial services background
* Strong on governance, risk, or compliance processes
* Analytical, methodical, and detail-focused
* Confident communicator — comfortable engaging with stakeholders and suppliers
* Interested in a structured, process-driven environment with plenty of operational variety
Why Apply?
* Join a high-functioning governance team in a respected investment operations unit
* Gain exposure to breach management, regulatory reporting, and control frameworks
* Enhance your profile within asset management and operational risk
* Opportunity to apply internally post-contract (strong internal mobility culture)
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