Audit/Controls/Assurance – Manager

Remote (with up to 20% travel)

£60,000–£70,000 per annum + 30 days holiday

Permanent or Contract

Our client is a growing organisation with a strong foundation and an open, collaborative culture. Working closely with their branches offering financial services, they’re committed to delivering robust controls and assurance frameworks that support their operations.

The Role:

We’re seeking an experienced Audit/Controls/Assurance Manager to build and manage our clients controls framework, ensuring key risks are identified, assessed, and addressed. Reporting directly to the Head of Risk, you’ll play a critical role in developing systems and processes and working closely with third-party specialists on larger regulatory reviews.

This is a home-based role with up to 20% travel, including visits to established branches and those in build phases.

Responsibilities:

• Controls Framework Development: Design and implement a controls framework to address key risk areas, 
  including:
• Processes
• Records management
• Training
• First-line insurance activities
• Supply chain management
• HSE
• Construction, Property and Building risk
• Branch audits

• Branch Audits: Conduct reviews to assess risks across operational, IT, and data activities, 
  ensuring adherence to high standards and compliance (e.g., DISP SOP rules).

• Collaborative Reviews: Partner with third-party providers on major 
  compliance and controls reviews.

• Reporting Systems: Build and enhance controls reporting systems to
  ensure actionable insights and oversight for key stakeholders.

• Health & Safety and Operations Resilience: Oversee audits and 
  controls related to health and safety, supplier management, and procurement.

• Complaint Audits: Monitor compliance with reporting, 
  i.e DISP SOP rules and other regulatory requirements.

About You:

To thrive in this role, you’ll need:

• A breadth of experience (and therefore familiarity with the governance risk and controls) in businesses
   that operate across multiple regional branches in a regulated client environment, with key risks including
  financial services, supplier management, property and construction, 
  and health and safety. 
• Strong expertise in building and managing control frameworks from the ground up.
• Experience conducting branch audits, ideally across diverse and evolving environments.
• Excellent knowledge of controls, operational risk, data management, and supplier assurance.
• A collaborative mindset with the ability to work closely with internal teams and third-party providers.
• Willingness to travel up to 20% of your time, including branch visits and site assessments.

What’s On Offer:

• A flexible, home-based role with limited travel.
• A friendly and supportive company culture.
• Opportunities to shape a rapidly evolving function in a growing organisation.
• Competitive salary and benefits, including 30 days of holiday.

Next Steps:

We’re looking to appoint this role as soon as possible. If you’re ready to bring your expertise to a dynamic team and 
help us build a best-in-class controls framework, we’d love to hear from you!

How to Apply:

Please submit your CV here or apply to Paul Stanbridge at Fleet Search.

Our client, a leading global financial services firm is seeking a Vice President to join their Risk reporting team.

This is a rare opportunity to take on a new role within an expanding team. It will require excellent project management skills, team leadership and relationship skills to help define and build the scope of the division.

At first you will focus on building the Risk Control Monitoring framework with the view to eventually establishing an integrated Business Oversight function.

With a background in a large European or US bank, the successful candidate will have recent supervisory experience and a track record of developing and maintaining excellent working relationships with team members, stakeholders and senior managers.

The successful candidate will also be responsible for improving the overall efficiency of the function and in developing controls and risks across other risk reporting areas.

Essential Skills:

• Excellent Banking Controls Risk knowledge

• Experience of creating and Managing Controls teams

• Experience in dealing with Reporting issues

• A strong understanding of Risk Reporting and it’s application to the business and regulators.

• Expert understanding of SOX.

• Excellent communication skills

• Degree educated or equivalent experience

• Five years’ minimum experience in traded products and risks and controls

• Project management in change controls.

• Previous experience improving a Banking control environment.

A European Bank has an opportunity for a candidate with a big 4 background or in a similar controls role to lead permanent Operational risks within the Fixed Income department in the front office, sitting on the trading floor, with a focus on Credit products.

This is an excellent position for someone looking to secure their first move to industry or moving from an audit, risk, controls role into a front office environment.

– Banking experience and a basic understanding of front office product flows are essential.
– Good communication and relationship building skills are essential as the role requires daily liaison with senior front office staff.