At a Glance
- Tasks: Capture and document critical operational knowledge in a hands-on role.
- Company: Join Rathbones, a rewarding workplace focused on investing in your future.
- Benefits: Market rate pay, hybrid working, and clear paths for career progression.
- Other info: Dynamic role with opportunities to engage with senior leadership.
- Why this job: Make a real impact by translating experience into sustainable documentation.
- Qualifications: Strong GRC background and experience in financial services required.
A rewarding place to work. At Rathbones, we invest in everyone's tomorrow that includes our people. We are always looking for future talent, and we can help you build a rewarding career with clear paths to progression and the opportunity to share in the success of our business.
Interim Role: Controls Assurance Knowledge Capture Lead
Location: UK (Hybrid Liverpool / WFH base)
Contract: 6 months
Day Rate: Market rate (dependent on experience)
Function: COO Controls Assurance
Role Overview
We are seeking an experienced Controls Assurance / GRC interim to capture and document critical operational, controls, and assurance knowledge. This role sits firmly in the First Line of Defence and focuses on how controls and assurance activities operate in practice across data verification, reconciliations, and ISAE 3402 oversight. The successful candidate will translate deep, experience-based knowledge into clear, sustainable documentation to support operational continuity, audit readiness, and regulatory assurance.
Key Responsibilities
- Work closely with senior controls leadership to capture undocumented knowledge, judgement calls, and ways of working
- Conduct interviews and walkthroughs across multiple assurance teams
- Document:
- End-to-end processes and operating models
- Control objectives, activities, and ownership
- ISAE 3402 control narratives and evidence expectations
- Roles, responsibilities, and dependencies
- Ensure documentation reflects actual first-line operation, not theoretical design
- Support continuity for future leaders and audit / regulatory interactions
Required Experience
Essential
- Strong background in Governance, Risk & Compliance (GRC) within financial services
- Experience in the First Line of Defence
- Hands-on exposure to controls frameworks and assurance activities
- Direct experience working with ISAE 3402 / SOC 1 environments
- Proven ability to document complex operational processes
- Excellent stakeholder engagement and interviewing skills
Desirable
- Wealth management, asset management, or custody experience
- Familiarity with:
- AML / Client Due Diligence processes
- Reconciliations and custody operating models
- Data quality or operational controls
Key Attributes
- Pragmatic and detail-oriented
- Comfortable working with legacy processes and institutional knowledge
- Able to translate senior-level judgement into practical documentation
- Credible engaging with senior managers and auditors
- Strong written communication skills
What This Role Is Not
- Not internal audit
- Not second line compliance
- Not a policy-only or transformation role
- This is a hands-on first-line controls and assurance documentation engagement.
Locations
Controls Assurance Knowledge Capture Lead in Cheshire, Warrington employer: Rathbones Group Plc
At Rathbones, we pride ourselves on being a rewarding employer that invests in the future of our people. With a hybrid working model based in Liverpool, we offer a collaborative work culture that encourages professional growth and provides clear paths for career progression. Join us to be part of a team that values your contributions and supports your journey towards success in the financial services sector.
StudySmarter Expert Advice🤫
We think this is how you could land Controls Assurance Knowledge Capture Lead in Cheshire, Warrington
✨Dive into Industry Groups
Join compliance and risk management groups on platforms like LinkedIn and Facebook. These communities often share temp job postings and insights. You’d be surprised at how many temporary gigs float around through word of mouth!
✨Showcase Your Expertise
Consider creating content on compliance topics that get you noticed—think LinkedIn articles or even a blog. This not only shows off your knowledge but can grab the attention of companies like Rathbones Group Plc when they’re searching for someone to fill a temporary position.
✨Tap into Recruitment Agencies
Reach out to recruitment agencies that specialise in compliance and risk roles. They’re usually in touch with companies looking to fill temporary roles, which can save us a lot of time in our job search.
✨Go Local with Networking
Attend local compliance and risk seminars or workshops. Meeting professionals in our area can open up temp opportunities, and it’s a great way to make your face known in the industry—plus, you might even meet someone from Rathbones Group Plc!
We think you need these skills to ace Controls Assurance Knowledge Capture Lead in Cheshire, Warrington
Some tips for your application 🫡
Show Your Compliance Know-How:When you’re applying for a compliance-risk role like Controls Assurance Knowledge Capture Lead, make sure to highlight your understanding of industry regulations and risk management principles. Mention any relevant coursework, certifications, or projects that showcase your expertise in these areas—it's what sets you apart!
Highlight Your Analytical Skills:In the compliance-risk field, strong analytical skills are essential. Talk about your experiences that required critical thinking and data analysis, whether in past roles, internships, or academic projects. Show us how you've identified risks and implemented solutions in the past.
Tailor Your CV for the Temporary Role:Since this is a temporary role, focus on your availability and flexibility in your CV. Highlight any previous short-term roles or projects that demonstrate your ability to adapt quickly and deliver results in a fast-paced environment. This helps employers see you as an easy fit in their team!
A Concise Cover Letter is Key:Keep your cover letter short and focused! Explain why you're interested in the compliance-risk area specifically for this temporary position at Rathbones Group Plc. Mention what you hope to learn and achieve, showing your enthusiasm and motivation to contribute positively during your time there.
How to prepare for a job interview at Rathbones Group Plc
✨Know Your Compliance Basics
Make sure you're clued up on the key compliance and risk regulations pertinent to the industry you're applying to. Understanding frameworks like GDPR or AML will not only impress but also show that you’re ready to hit the ground running in your temporary role at Rathbones Group Plc.
✨Prepare for Scenarios
Expect scenario-based questions that test your problem-solving skills. They might ask how you'd handle a specific compliance issue. Think through real situations you’ve encountered in past roles or study hypothetical cases to showcase your analytical skills and practical judgement during the interview.
✨Highlight Your Adaptability
Since this is a temporary position, emphasise your ability to adapt quickly to new environments and team dynamics. Share examples of how you’ve successfully adjusted to changes in past roles and how this flexibility can benefit Rathbones Group Plc in the short term.
✨Gather Your Technical Tools
Familiarise yourself with commonly used compliance tools or software, as they might come up in the interview. If you've used tools for risk assessments or compliance tracking, mention those and be ready to discuss how they can streamline processes at Rathbones Group Plc.
