Investment Conduct & Compliance Risk Manager

Lloyds Banking Group

. Provide second line oversight, advice and constructive challenge on regulatory, conduct and customer risks across investment products and services .

Posted 9/30/2026full-timeLondon • United KingdomMid-LevelSenior💰 £67,023 - £78,193 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in second line risk oversight, regulatory compliance, and conduct risk within financial services, with a strong focus on UK investment regulations and fund governance frameworks. Capable of delivering risk-based reviews and producing clear, evidence-based reporting for senior management.

Highest-signal resume keywords

Second Line Risk OversightUK Investment RegulationFund Governance FrameworksAnalytical SkillsCommunication and Influencing Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ComplianceRisk AssessmentData AnalysisRisk-Based ReviewsFund StructuresInvestment ProductsConduct RiskGovernance FrameworksRemediation ActivityEvidence-Based Reporting

Soft Skills

Relationship BuildingConstructive ChallengePresentation SkillsInfluencing Skills

Certifications & Qualifications

Investment QualificationRisk QualificationCompliance Qualification

Industry Keywords

Financial ServicesInvestment ProductsCollective Investment SchemesISAsGeneral Investment AccountsUCITSNURS FundsFinancial Conduct AuthorityRetail InvestmentsRegulatory Change

About the role

Key responsibilities & impact

Provide second line oversight, advice and constructive challenge on regulatory, conduct and customer risks across investment products and services
Build relationships with senior stakeholders and business Risk and Control Owner teams, including the Authorised Corporate Director, Investment Office, Scottish Widows Investment Platforms and Direct to Customer
Deliver risk-based reviews of regulatory compliance, controls and governance, including UK authorised fund arrangements
Analyse data, risk events, breaches and remediation activity to identify emerging themes and assess customer impact
Support improvements to the control environment
Produce clear, evidence-based reporting highlighting key risks and actions for senior management and governance forums
Contribute to Conduct & Compliance Risk initiatives and strategic regulatory change across Wealth & Insurance

Requirements

What you’ll need

Practical experience working in a second line risk, compliance or conduct risk role within financial services
Practical working knowledge of UK investment and authorised fund regulation, including applying Financial Conduct Authority requirements to ICVCs covering UCITS and NURS funds
Experience applying fund governance frameworks, including assessing the responsibilities and activities of Authorised Corporate Directors and investment managers
Practical experience of retail investment products and fund structures, such as collective investment schemes, ISAs, General Investment Accounts or multi-asset solutions
Experience delivering risk-based oversight reviews and assessing compliance with regulatory requirements, policies and control frameworks
Strong analytical skills, including interpreting complex information, identifying emerging risks and reaching evidence-based conclusions
Strong communication and influencing skills, including presenting reporting to senior stakeholders and governance forums
Desirable: consultancy or advisory experience in financial services
Desirable: experience delivering regulatory change projects within retail investments and translating requirements into practical business actions
Desirable: a relevant investment, risk or compliance qualification

Benefits

Comp & perks

A generous pension contribution of up to 15%
An annual performance-related bonus
Share schemes including free shares
Benefits you can adapt to your lifestyle, such as discounted shopping
30 days’ holiday, with bank holidays on top
A range of wellbeing initiatives and generous parental leave policies
Flexible working options: Hybrid Working, Job Share
Reasonable workplace adjustments for colleagues with disabilities, including flexibility in office attendance, location and working patterns
Opportunities to learn, grow and develop