Controls Assurance Knowledge Capture Lead

At Rathbones, we help people invest their money well, so they can live well. That means more than financial returns – it’s about helping people feel confident in their decisions and supported in their future. We don’t just manage money, we guide people through life’s big moments, helping them stay on track and focus on what matters most.

We’re proud to be one of the UK’s leading wealth managers, with over £109bn* in assets under management and 20+ offices across the UK and Channel Islands. We’re a FTSE 250 company with national reach and a local feel – and we’re growing.
*As of June 2025

Interim Role: Controls Assurance Knowledge Capture Lead

Location: 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.

Our offer to you

We want everyone at Rathbones to fulfil their potential, in an environment where you are proud to work and feel like you belong.

We offer a comprehensive remuneration package, which we review regularly, and benefits include:

• A company pension - 9% non-contributory or 10% if you contribute 5%
• Private medical insurance – Individual on joining, family after 1 year’s service
• Life assurance  - 8 x salary
• Income protection – 75 % salary
• Company share scheme
• Discretionary bonus
• Flexible holidays – purchase up to 5 additional days
• Green Car Scheme
• Family friendly policies – enhanced family leave for parents & carers
• Study support – study days and funding for courses and qualifications
• Season travel ticket loans
• Volunteering days
• Gym discounts
• Other voluntary benefits you can choose to suit you 

Our employees can choose to take part in various social groups and communities to support their wellbeing, growth, development and sense of community. These include:

• Sports & Social Committees, such as cricket, football, netball, running, yoga, quiz nights, charity bake sales and much more.
• Inclusion Networks that help us drive change within the organisation such as Gender Balance, Multicultural, Abilities Count, Pride, Social Mobility, Generations, Menopause Matters@Rathbones’ and Armed Forces. 
• The NextGen IM Network, which brings together a community of trainees from across the UK, who are all at the early stages of their careers and offers development opportunities, exposure across the business as well as peer support and connection.

Life at Rathbones

We aim to become an employer of choice for the wealth management sector, to achieve this we are working hard to build a diverse, equal, and inclusive workplace that motivates, develops and embraces the strengths of all our colleagues. Being part of Rathbones means you will join a team of passionate professionals in a successful culture that cares for its people. At Rathbones, we provide meaningful work, opportunities, and a voice to all.

We are committed to building a team that is made up of diverse skills, experiences and abilities and encourage applications from all backgrounds. We welcome individuals who share our values.

We’re a Disability Confident Employer (level 2) under the UK Government scheme. This means we’ve signed up to a set of commitments around how we recruit, retain and develop people with disabilities. Find out more about the Government Scheme online, click here. If you require adjustments to apply for a role at Rathbones, please contact us via recruit@rathbones.com to let us know what adjustments you may need.

Mission

We believe in playing the long game. That means building consistent results, earning trust and doing the right thing — for our clients, our colleagues and the communities we’re part of.

Our values shape how we work:
- We aim high
- We get it done
- We show we care
- We do the right thing

These aren’t just words on a wall. They guide how we treat each other, how we make decisions and how we build relationships that last.

We will close this advert once we have received enough applications for the next stage. Please submit your application as soon as possible to ensure you don’t miss out.