Investment Conduct & Compliance Risk Manager

Overview

As an Investment Conduct & Compliance Risk Manager, you provide second-line oversight and challenge across Wealth & Insurance to safeguard customer outcomes. You will collaborate with senior stakeholders to assess regulatory compliance and identify emerging risks within investment propositions and fund governance. Your work supports a strong control environment through data analysis, risk reviews, and governance reporting. This role offers impact across product and distribution channels within a values‑driven, inclusive organization and a clear focus on delivering responsible outcomes.

Pay / Benefits

• Generous pension contribution up to 15%
• Annual performance-related bonus
• Share schemes including free shares
• Wellbeing initiatives
• Parental leave policies
• 30 days holiday plus bank holidays

Responsibilities

• Provide second‑line oversight, advice and constructive challenge on regulatory, conduct and customer risks across investment products and services
• Build strong relationships with senior stakeholders and risk/control owner teams across multiple platforms and entities
• Conduct risk-based reviews of regulatory compliance, controls and governance including UK authorised fund arrangements
• Analyze data, risk events and remediation activity to identify emerging themes and improve the control environment
• Produce clear, evidence-based reporting to senior management and governance forums
• Contribute to wider Conduct & Compliance Risk initiatives and strategic regulatory change across Wealth & Insurance

Key requirements

• Practical experience in a second-line risk, compliance or conduct risk role within financial services
• Knowledge of UK investment and authorised fund regulation (FCA requirements for ICVCs, UCITS and NURS funds)
• Experience applying fund governance frameworks with Authorised Corporate Directors and investment managers
• Experience with retail investment products and fund structures (e.g., ISAs, GIA, multi-asset solutions)
• Experience delivering risk-based oversight reviews and regulatory compliance assessments
• Strong analytical skills to interpret complex information and draw evidence-based conclusions
• Strong communication and influencing skills with ability to present to senior stakeholders

• analytical thinking
• influencing and communication
• stakeholder management
• UK FCA regulatory knowledge for ICVCs/UCITS/NURS
• fund governance applying frameworks
• risk-based oversight and controls

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