Control Testing Analyst (Lead)

Capital.com is a leading trading platform with award-winning products, expanding globally and focusing on cutting-edge technology and seamless client experience.

Experience:

• 5–8 years of experience in control testing, operational risk, tech risk, or internal audit within financial services or regulated FinTech.
• Proven ability to execute tests of controls independently from planning to final report.
• Experience engaging with first-line business teams in a second-line capacity.
• Familiarity with multi-jurisdiction regulatory requirements (FCA, CySEC, or ASIC advantages).
• Experience supporting or preparing for regulatory audits and examinations.

Knowledge:

• Sound understanding of operational risk frameworks such as COSO and ISO 31000.
• Knowledge of regulatory obligations including Consumer Duty, AML, GDPR, and best execution.
• Familiarity with control testing methodologies and issue management processes.
• Comfortable using GRC tools, Excel, and reporting platforms.

Personal Attributes:

• Strong interpersonal and communication skills for engaging at all organizational levels.
• Self-starter capable of managing workload independently.
• Methodical, detail-oriented, with a questioning and verification approach.
• Genuine interest in building a risk-aware culture.
• Adaptable and resilient in an evolving function.

Desirable Qualifications:

• Bachelor's degree in Finance, Business, Risk Management, Law, or related field.
• Professional certification such as IRM, ICA, CIA, or equivalent.

Control Testing Execution:

• Plan, execute, and document control testing activities across operational or tech risk domains, covering both design and operating effectiveness.
• Perform periodic assessments of high-risk business areas including customer onboarding, AML processes, payment operations, financial promotions, and data protection.
• Identify control gaps, weaknesses, and process failures through structured walkthroughs, sample testing, and review of evidence.
• Produce clear, well-evidenced test workpapers that meet internal quality standards and regulatory scrutiny.

Issue Management & Remediation:

• Document findings and communicate them clearly to control owners and senior stakeholders.
• Work with first-line teams to agree on root cause analysis and develop practical, time-bound remediation plans.
• Track open issues through to closure, conducting follow-up testing to validate corrective actions.
• Maintain the issues register and provide regular status updates to the Head of Control Testing.

Risk Culture & Stakeholder Engagement:

• Act as a visible, credible presence across business functions, building collaborative relationships.
• Support the development of risk and control awareness across the organization.
• Deliver guidance and informal coaching to control owners on control design, evidence requirements, and good practice.
• Represent the Control Testing function in cross-functional forums, risk committees, and working groups.

Reporting & Framework Support:

• Contribute to preparation of control testing reports and dashboards for senior management and risk committees.
• Support maintenance and development of the control library, ensuring mapping of controls to risks and business processes.
• Assist in preparing documentation for regulatory audits and examinations.
• Provide input to the annual Control Testing Plan, drawing on knowledge of operational risk and business changes.

Our company has an Internal Reporting Procedure available from Human Resources upon request. Violations can be reported under the terms specified therein.