Control, Assurance and Testing Analyst

Recruiter
Evelyn Partners
Location
Bracknell, United Kingdom
Salary
Negotiable
Posted
27 Sep 2022
Closes
27 Oct 2022
Ref
17071937
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Evelyn Partners is the UK's leading integrated wealth management and professional services group. With £56 billion of assets under management (as of November 2021), we rank as the third largest UK wealth manager measured by revenues and the sixth largest professional services firm ranked by fee income (source: Accountancy Age 50+50 rankings, 2021).

We are driven by our purpose to place the power of good advice into more hands for both individuals and businesses. Our purpose is supported by our 3 core values:

Personal - we treat you as an individual

Partnership - we go further together

Performance - we strive for more

What will you be doing?

The Control Monitoring, Assurance & Testing Manager is a newly created role as Evelyn Partners continues to develop its approach to Oversight of Risk & Control. The role will be part of the team responsible for conducting assurance activity within the Financial Services 1st Line of Defence (1LoD) Front Office. The Control Monitoring, Assurance & Testing (CMAT) team provides the Financial Services Front Office capability to monitor, test, and provide assurance on the operation of Controls. It is separate to Operations and 2LoD (Compliance) and 3LoD (Audit) which retain independent testing capabilities.

Some of your responsibilities will be:
  • Conduct monitoring, assurance & testing on Financial Services Front Office in accordance with the annual and quarterly plans, and additionally as directed, to provide assurance on compliance with Policies and Control requirements.
  • Identify gaps, errors and deficiencies in established processes and compliance with Front Office processes, procedures and wider Evelyn Partners Policies and Standards.
  • Complete written CMAT post-test reports, presenting to the CMAT Senior Manager for subsequent inclusion in the relevant governance forum to provide assurance on the Front Office-owned Control Environment.
  • As an individual contributor within Financial Services Front Office, strengthen the Control Environment and support and ensure the delivery of Oversight-related initiatives and frameworks.
  • Where required, coordinate, facilitate and support activity across the Financial Services Front Office Oversight function.
  • Support the client redress and remediation process, partnering with 2LoD Compliance and Group functions to advise and support the Front Office in implementation of required processes.
  • Support oversight of Front Office Best Execution, Timely Execution and Dealing, partnering with 2LoD Compliance and Group functions to advise and support the Front Office in maintaining compliance.


To be successful in this role, you should have:
  • Understanding of monitoring, assurance or testing within a Financial Services organisation.
  • Understanding of the principles of internal control and Risk & Control frameworks.
  • Experience of report writing and presentation.
  • Ability to identify and assess the adequacy of controls frameworks and make appropriate control recommendations,
  • Ability to constructively challenge, where appropriate, including middle management level.


As a colleague here at Evelyn Partners you will have access to benefits that include:
  • Competitive salary
  • Private medical insurance
  • Life assurance
  • Pension contribution
  • Hybrid working model (role dependent)
  • Generous holiday package
  • Option to purchase additional holiday
  • Shared parental leave


We value the differences that a diverse workforce brings, representative of our society and clients. We are committed to providing a work environment where all colleagues, regardless of identity, background, or circumstance, feel respected as individuals and feel that they can achieve their full potential and work in a safe, supportive, and inclusive environment.

If you need any reasonable adjustments for your application process, please let your recruiter know.
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