Risk and Controls Operations Associate

Investa is building the UK's first zero-commission Options and Stocks trading platform. 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 key operational controls spanning CASS oversight, onboarding operations, financial crime monitoring, and execution control. Office location: Temple, London, hybrid working environment (3 days in office per week). Reporting to the Chief Operating Officer.

Responsibilities

Perform daily internal & external CASS reconciliations across Investa's client base to prevent breaches and ensure compliance with day-to-day CASS obligations; Maintain audit-ready compliance records, log breaks and CASS breaches, and assist in preparing regulatory returns and notifications when needed; Own the day-to-day onboarding queue, performing KYC/AML document reviews, appropriateness assessments, and managing PEPs, sanctions, and high-risk escalations; Organise high-risk client reviews assisting with enhanced due diligence, source of funds/wealth checks, and periodic and event driven reviews; Manage sensitive customer cases as identified in the vulnerable clients policy, ensure good outcomes for clients with support needs, and manage KPIs for clients in this segment in strict compliance with Consumer Duty standards and internal policies; Own and gather key performance indicators covering all aspects of the business for committee reporting and oversight; Review and approve marketing campaigns, product copy, and social media promotions to ensure alignment with FCA Financial Promotion and Consumer Duty rules; Assist in implementation of regulatory change in the UK or elsewhere; Point of contact for vendors and outsourcing partners to oversee and coordinate information sharing for incident closure & customer support; Provide first line review of trade surveillance alerts for signs of market abuse and oversee the closure of alerts and applicable audit trail

Requirements

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

Nice to have

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 regulation

Benefits

Career ownership and impact with autonomy over execution and career trajectory; Collaboration with co-founders and cross-departmental exposure; Initial equity grant of 0.1% - 0.15% in stock options, with additional performance-based grants and milestone-linked top-ups; Annual structured salary and performance reviews; 30 days annual leave (including bank holidays) plus your birthday off; Private medical and dental insurance via Bupa; Private gym and rooftop terrace in the office; Tea, coffee and snacks daily; Monthly Team Lunch and regular team socials; High-spec MacBook and £150 toward a mouse and keyboard