Risk and Controls Operations Associate

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About the role

Risk and Controls Operations Associate Office Location: Temple, London - hybrid working environment (3 days in office per week) Reporting: Chief Operating Officer About Investa Investa is building the UK’s first zero-commission Options and Stocks trading platform. Legacy platforms typically feature high fees and complex interfaces that cut out the majority of retail investors. We are building a streamlined alternative to fix that. So far, we have raised £3.5 million in funding, secured direct regulatory approval from the FCA, and picked up two major awards in 2026: Best Options Trading App (Good Money Guide) and Best App for Options Trading (ADVFN). Having launched on iOS - reaching 4,000+ total sign-ups - we have now just launched on Android, doubling our addressable market as we scale toward targets of 10,000 users, 100,000, and beyond. Key Platform Traction: • 8,000+ trades processed • 2,500+ early supporters rewarded for their loyalty • 1,000+ shareholders backing our vision • 150+ 5-star reviews Our goal is straightforward: Think Options, Think Investa. We are a lean, agile team where every employee directly shapes the business. We don't have a corporate way of working. Instead, we look for people who want high autonomy, care about making a visible impact, and align with our core values of being Collaborative, Curious, and Creative. The Role As our Risk & Controls Operations Associate, you will serve as the first line of regulatory and operational control for Investa’s platform. Working together with our Head of Risk & Compliance and Co-Founders, you will help own the day-to-day execution of our key operational controls spanning CASS oversight, onboarding operations, financial crime monitoring, and execution control. This is a critical, high-visibility role within a fast-scaling financial trading environment. You will bridge regulatory oversight with practical execution: verifying client money flows, resolving dealing and onboarding exceptions, and ensuring our operations adhere strictly to FCA standards as our operating model expands from sub-account clearing into in-house custody. What the role involves 1. Risk & Control Operations • CASS Reconciliations: Perform daily internal & external CASS reconciliations across Investa’s client base to prevent breaches and ensure compliance with day-to-day CASS obligations. • CASS Reporting & Audits: Maintain audit-ready compliance records, log breaks and CASS breaches, and assist in preparing regulatory returns and notifications when needed. • KYC & Onboarding Operations: Own the day-to-day onboarding queue, performing KYC/AML document reviews, appropriateness assessments, and managing PEPs, sanctions, and high-risk escalations. • Financial Crime Monitoring: Organise high-risk client reviews assisting with enhanced due diligence, source of funds/wealth checks, and periodic and event driven reviews. • Vulnerable Customer Framework: Manage sensitive customer cases as identified in the vulnerable clients policy, ensure good outcomes for clients with support needs, manage key performance indicators for clients in this segment in strict compliance with Consumer Duty standards and internal policies. 2. Business Oversight & Governance Support • Management Information: Own and gather key performance indicators covering all aspects of the business for committee reporting and oversight. • Financial Promotions: Review and approve marketing campaigns, product copy, and social media promotions to ensure strict alignment with FCA Financial Promotion and Consumer Duty rules. • Regulatory Change: Assist in implementation of regulatory change in the UK or elsewhere to ensure compliance with new rules that apply to the Firm. • Third Party Risk Management: Point of contact for vendor

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