Business Audit and Controls Manager

Link Asset Services
04 Apr 2019
02 May 2019
Job role
Contract type
Full time

Company Description

Link Asset Services is a fast growing, dynamic business with market leading positions across our areas of expertise – funds, market services, corporates and private client, and banking and credit management services. With offices across the UK and Europe we are part of Link Group who are headquartered in Australia. A truly global organisation, Link Group provides us with a strong platform to realise our growth ambitions and continue to build on our success.

You can play a key part in this – at Link Asset Services we recognise the importance of supporting and developing our people, so we listen to colleagues, train our teams and invest in great working environments. Add to that a culture that champions respect and integrity, a diverse and inclusive colleague base and a commitment to positively influence the communities we work with and you'll get a flavour of life at Link. At the bottom of this role advert, you'll find more information on why you'll enjoy working with us???

Job Description

At an exciting time for Link Asset Services, we have a vacancy for a Business Audit and Controls Manager in our Fund Solutions area of the business. Based in our Leeds office, you will be responsible for the on–going control environment within our Transfer Agency (TA). Working with the TA Leadership group, you will monitor and report on all controls established within the Transfer Agency, ensuring that relevant updates to procedural documentation are completed and published. You will also need to consider any risk implications with these, and make sure that procedures are being followed by operational staff.

Day to day you will:

  • Engage stakeholders to facilitate the review, recommendation and implementation of risk reduction controls throughout TA.
  • Establish best practice and governance for the control environment to support operational delivery, regulatory adherence and risk management
  • Provide regular status updates to Heads of Department and TA Director, communicating clearly and timely any obstacles which could hinder delivery
  • Embed a strong belief and adherence to control environment throughout the department
  • Act as a contact point for all monitoring visits managing the content, recommendations and all actions agreed to ensure immediate implementation and continued delivery
  • Have oversight and contribution to all proposed changes to Transfer Agency, including product launches / fund wind up and wider change programmes and new clients.
  • Be actively involved from a control perspective in scoping of business requirements and specification documents supporting business analysts / project teams.
  • Sign off for change documentation, business flows as per current and future processes to ensure appropriate controls are in place mitigating risk where possible.



  • Audit / Compliance monitoring background
  • Stakeholder relationship management
  • Demonstration of effective communication both verbal and written in order to effectively deliver technical elements of the role to a varied audience
  • Analytical experience in order to identify trends and improvement opportunities
  • Solid understanding and application of MS Excel and PowerPoint
  • Knowledge Transfer Agency
  • Willingness to study and attain Investment Operations Certificate


  • Strong understanding of Fund Solutions' activities and products
  • Experience of monitoring a Transfer Agency business
  • Investment Operations Certificate

Additional Information

Link Group's purpose statement 'Together we achieve' reflects how much we value working together: with each other; with our clients; and with third parties, to help everyone achieve success – both personal and professional

We have an ongoing commitment to career progression, training and education as well as a competitive compensation and benefits package that under pins this.

At Link, you'll find we support achievement and celebrate success. So, if you want to be a part of this, click the 'I'm Interested' or Apply button???

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