Governance & Controls Analyst – 12-Month FTC

Governance & Controls Analyst – 12-Month FTC

Location: York
Contract: 12 Months (FTC)
Start Date: ASAP

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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.

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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

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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

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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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