Controls Assurance Capture Lead

Controls Assurance Knowledge Capture Lead

Job

Department: COO Controls & Assurance

Job Category:
Professional / Managerial

Location:

Liverpool, GB, L3 1NW

Contract: 6 months

Day Rate: Market rate (dependent on experience)

Function: COO – Controls Assurance

We are seeking an experienced Controls Assurance / GRC interim professional to capture and document critical operational, controls, and assurance knowledge. The 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.

• 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
• Document control objectives, activities, and ownership
• Document ISAE 3402 control narratives and evidence expectations
• Document roles, responsibilities, and dependencies
• Ensure documentation reflects actual first‑line operation, not theoretical design
• Support continuity for future leaders and audit / regulatory interactions

• 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
  
  Wealth management, asset management, or custody experience
• Familiarity with reconciliations and custody operating models
• Familiarity with data quality or operational controls

• 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

• Not internal audit
• Not second line compliance
• Not a policy‑only or transformation role

We offer a comprehensive remuneration package and benefits including:

• 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× 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
• Other voluntary benefits you can choose to suit you

We welcome individuals who share our values. We are a Disability Confident Employer; if you require adjustments to apply, please contact us at