Control Tester

**About us**

Seccl is the Octopus-owned embedded investment platform that’s helping more people to invest - and invest well.

Our sector is being held back by old tech, dismal processes and misaligned interests. Together they create pointless complexity for financial planning and investment professionals, and provide outdated, overpriced experiences for customers. We’re on a mission to fix it.

We help forward-thinking financial planners, wealth managers and investment platforms to reimagine their business and client experience - empowering them to build better, more sustainable and more valuable operations, and meet the digital demands of the future, not the baseline expectations of the past.

And we do it by reimagining their technology - with a low-cost, hyper-efficient and (genuinely) API-first technology infrastructure that handles millions of requests every day, and powers the portfolios of more than 160,000 investors.

A regulated custodian and ISA/SIPP provider, we combine the disruptive mindset and ambitious mission to shake things up, with the commitment and substance to not screw them up.

We’re proud to be part of Octopus, the £12.8 billion group that's on a mission to breathe new life into broken industries, through companies like Octopus Energy, Octopus Investments and Octopus Money.

**TLDR**

We’re a business with insane product-market fit, impressive early traction and an offering that has the potential to transform an outdated industry for the better. We’ve doubled the size of our business over the last six months and expect to do that a few more times over the next few years.

**The role**

We’re looking for a Control tester to provide independent assurance on the design and effectiveness of controls within our operations department. This role sits within the 1st Line of Defence (1LoD), reporting directly to the COO, and is responsible for conducting control testing, identifying weaknesses, and driving improvements in the control environment.

**On a typical day you will be**
- Conduct independent control testing across key business processes within COO’s area with a particular focus on CASS compliance and other FCA regulatory requirements.
- Assess the design and operational effectiveness of 1LoD controls, ensuring they mitigate key risks effectively.
- Develop and execute control testing plans, including sampling methodologies and documentation of results.
- Provide assurance reports to the COO and senior stakeholders, highlighting control gaps, weaknesses, and areas for improvement.
- Work closely with control owners across operations, finance, compliance, and risk to enhance the overall control environment.
- Monitor and track remediation actions to ensure timely resolution of identified control deficiencies.
- Maintain awareness of regulatory developments and ensure control frameworks remain compliant with evolving FCA, CASS, and industry best practices.

**You’ll** be successful**if you **
- Have proven experience in a control testing, operational risk, internal audit, or assurance role within investment management or wealth management.
- Demonstrate strong understanding of CASS rules and FCA regulatory requirements, with experience testing client asset controls.
- Are experienced in 1LoD control functions, working closely with operations and business teams.
- Have knowledge of operational risk frameworks, control assessment methodologies, and process assurance.
- Professional qualifications such as CISI, ICA, ACCA, ACA, or CII are beneficial but not essential

**This role**isn’t** for you i**f**:

- **You rely on a lot of top-down direction.**Here, you’ll have a lot of freedom and ownership of your role, and you’ll be expected to shape your own progression
- **You’re not comfortable working in a fast-paced environment.** Our speed and scalability is what set us apart; you need to be able to act quickly and think on your feet
- **You struggle to follow through on your ideas.** We value people who do what they say they will. If you care about something, you have the freedom here to make it happen
- **You don’t like change**. You’ll get on great here if you relish the ambiguity of rapid growth and are willing to embrace uncertainty

**Our culture**

We are proud to cultivate a culture first, human environment and genuinely listen to our people about what matters to them most. As a result, we’re proud we’ve cultivated a transparent and inclusive environment that encourages diversity of thought, challenge and experimentation.

Our purpose is supported by a series of non-negotiable operating principles that define how we work to deliver value for each other and for our clients:

- Never settle

We think of ourselves as ‘embedded hero-makers’ for our customers. We put them first, and if we say we’ll do something, we’ll move heaven earth to do it. We think boldly and embrace change.
- Take ownership

We think rigorously and deeply about a problem, but then charge at it, acting with and ur