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.
Controls Assurance Knowledge Capture Lead in Liverpool 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 to 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.
