Control Manager - Vice President - Personal Investing Operations

Overview

In this VP role, you will strengthen our control environment to enable responsible growth and regulatory alignment. You will partner across Operations, Risk, Compliance, Audit, Legal, and Technology to drive proactive risk culture and deliver trusted outcomes for clients. You’ll design robust control frameworks, lead risk assessments, and guide remediation across initiatives and processes. The opportunity centers on shaping governance, improving controls, and communicating insights to senior leadership.

Responsibilities

• Design and implement control frameworks aligned to regulatory expectations and internal policies
• Identify, assess, and mitigate risks across new and existing products with stakeholders
• Conduct deep-dive risk assessments for Operations processes and change initiatives
• Monitor control performance, evaluate effectiveness, and recommend enhancements
• Collaborate with Testing, Compliance, Audit, and Risk teams to support an effective control environment
• Manage end-to-end lifecycle of regulatory, audit, compliance, and operational risk issues
• Identify control gaps, root causes, and practical actions to strengthen risk and control environment
• Build and maintain relationships with senior leaders and cross-functional partners
• Prepare executive-level reporting, dashboards, and presentations on themes, trends, and outcomes
• Provide training and guidance on control processes and risk management practices
• Contribute to the CORE program across key pillars
• Support operational risk practices and control programs, including committee reporting and risk mitigation
• Review and analyze key metrics to assess health of the operational risk and control environment

Key requirements

• Strong experience in operational risk management, controls, compliance, audit, and/or wealth management
• Ability to identify risks and implement effective controls for BAU and new product initiatives
• Strong written and verbal communication skills with ability to influence stakeholders at all levels
• Experience partnering with business stakeholders to remediate operational risk issues and deliver measurable outcomes
• Strong understanding of wealth management products, regulations, and associated risks
• Knowledge of trade lifecycle processes and ability to articulate control requirements (trade execution, capture, settlement)
• Strong knowledge of FCA requirements and regulatory expectations (Suitability & Appropriateness, CASS, Consumer Duty)
• Ability to translate process risks into risk and control heatmaps and communicate themes to senior audiences
• Proven time management and prioritization skills; ability to handle multiple deliverables
• High attention to detail, accuracy, and integrity
• Proficiency in Microsoft Office (Word, Excel, PowerPoint, Visio)

• communication
• influence
• stakeholder management
• operational risk management
• control design and assessment
• risk heatmaps

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