Investment Operations Analyst - Global Controls (1b)

The Role:

The 1B role within the U.S. operates as part of the First Line of Defense and reflects a hybrid operating model. While aligned to the global 1B framework, the U.S. role incorporates additional responsibilities to support local operational, regulatory, and governance needs that extend beyond the more narrowly defined UK model.

The U.S. Investment Operations Analyst / Business Risk Partner (1B) role operates within a service-recipient operating model, whereby a number of core services-including HR, Tax, Finance, Payroll, Data Services, IT systems, and enterprise contract procurement-are provided by the U.K. parent entity under a formal Master Service Agreement (MSA). As a result, the U.S. 1B role includes additional coordination and facilitation responsibilities do not present in the U.K.-based role, specifically to support effective engagement with Group service providers. These responsibilities include understanding the scope of services defined within the MSA, directing requests to the appropriate functional owners, supporting information flow, and expediting issue resolution. This role does not assume functional ownership, decision-making authority, or accountability, which remain with the relevant Group Finance, Tax, HR, Compliance, and Technology teams. This model supports timely execution and effective escalation while maintaining appropriate segregation of duties and governance oversight.

Core Responsibilities:

The role delivers front office risk and control activities while partnering closely with U.S. stakeholders across Operations, Risk, Compliance, Finance, Tax, and Technology.

Incident Management

• Lead end-to-end management of risk events and incidents.
• Convene incident meetings and agree to remediation actions.
• Draft Risk Event Notifications and track closure.

Pre- & Post-Trade Compliance / RDL

• Perform pre- and post-trade compliance monitoring
• Process Restricted Dealing List additions and removals in line with SLA.
• Escalate breaches appropriately.

Operational Risk & Control

• Facilitate RCSAs, conflicts registers, and risk reporting.
• Monitor critical front office controls and liquidity checks.
• Provide independent challenges on best execution and conduct issues.
• Monthly independent review & sign off on post-trade dealing controls.
• Keep up to date Operational Risk Standards / Handbook from 2LOD and implement these in the US to remain compliant.
• Identifying, assessing, managing & reporting MUDAs.

Finance & Tax Coordination (U.S. Hybrid Responsibility)

• This role does not manage Finance or Tax functions. Instead, it provides coordination and execution support to expedite U.S. finance- and tax-related matters. Responsibilities include:
• Acting as a point of contact to help triage, track, and progress requests involving Finance or Tax.
• Working with Group and regional Finance and Tax teams to bridge information needs, clarify requirements, and support timely delivery.
• Assisting with data gathering, documentation, and responses to tax filings, audits, regulatory requests, and internal reviews.
• Escalating delays, issues, or dependencies to U.S. Operations leadership as required.
• The optimal candidate will have a strong working understanding of U.S. finance and tax concepts to operate effectively in this coordination and facilitation role.

Change & Project Engagement

• Provide risk and control input to projects and change initiatives.
• Assess impact on front office controls and operational resilience.

Knowledge & Experience

• Experience in front office controls, operational risk, or investment operations.
• Strong understanding of risk frameworks and control standards.
• Working knowledge of U.S. finance and tax concepts is highly desirable.
• Ability to operate across functions in a hybrid U.S. operating model.

Salary Range

The referenced salary range represents the pay scale on offer for this position. Actual compensation may vary based on factors such as geographic location, work experience, market conditions, education/training and skills appropriate for the advertised position. Additionally, employees are eligible for a discretionary annual bonus, and benefits including health care, retirement and wellbeing benefits.

$123,125.00 - $149,250.00