Investment Conduct & Compliance Risk Manager
Core
Provide second line oversight, challenge, and monitoring of regulatory and conduct risks across investment products, fund governance, and distribution activities for Wealth & Insurance.
Role type
Senior IC investment conduct and compliance risk manager
Builds
Risk-based reviews of regulatory compliance, controls, and governance for UK authorised fund arrangements
Domain
Financial services, investment regulation, fund governance
Deliverable
dashboards & analysis
Required skills
Second line risk oversight, UK investment regulation (FCA, UCITS, NURS), fund governance frameworks, retail investment products, risk-based review execution, data analysis for emerging risks
Preferred skills
Consultancy or advisory experience in financial services, regulatory change project delivery, investment/risk/compliance qualifications
Technologies
None stated
Responsibilities
Provide second line oversight and constructive challenge on regulatory and conduct risks; Build relationships with senior stakeholders and business Risk teams; Deliver risk-based reviews of regulatory compliance and controls; Analyse data, risk events, and breaches to identify emerging themes; Produce evidence-based reporting for senior management and governance forums; Contribute to strategic regulatory change initiatives
Seniority
Senior, hands-on IC