Lloyds Banking Group
Investment Conduct & Compliance Risk Manager
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Investment Conduct & Compliance Risk Manager
Salary: £67,023 - £78,193
Location(s): London, Bristol & Edinburgh
Hours: Full-time
Working Pattern: Hybrid
Job Description Summary
The Conduct & Compliance Risk team is seeking an experienced Investment Conduct & Compliance Risk Manager to provide second line oversight, challenge, advice, and monitoring across Wealth & Insurance.
About this Opportunity
This role focuses on regulatory and conduct risk oversight across investment propositions, fund governance arrangements, and distribution activities. You’ll work closely with senior stakeholders across the business to assess regulatory compliance, identify emerging risks, and provide constructive challenge that supports better customer outcomes.
What You’ll Be Doing
- 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 business Risk and Control Owner teams.
- Deliver risk-based reviews of regulatory compliance, controls, and governance.
- Analyze data, risk events, breaches, and remediation activity to identify emerging themes and assess their impact on customers.
- Produce clear, evidence-based reporting that highlights key risks and actions for senior management and governance forums.
- Contribute to wider Conduct & Compliance Risk initiatives and strategic regulatory change across Wealth & Insurance.
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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 authorized fund regulation.
- Experience applying fund governance frameworks in practice.
- Practical experience of retail investment products and fund structures.
- Experience delivering risk-based oversight reviews and assessing compliance with regulatory requirements, policies, and control frameworks.
- Strong analytical skills, with the ability to interpret complex information, identify emerging risks, and reach clear, evidence-based conclusions.
- Strong communication and influencing skills, with experience presenting clear, high-quality reporting to senior stakeholders and governance forums.
Desirable Experience
- Consultancy or advisory experience in financial services.
- Experience delivering regulatory change projects within retail investments.
- A relevant investment, risk, or compliance qualification.
This is a Place for You
We offer reasonable workplace adjustments for colleagues with disabilities, including flexibility in office attendance, location, and working patterns. As a Disability Confident Leader, we guarantee interviews for a fair and proportionate number of applicants who meet the minimum criteria for the role with a disability, long-term health, or neurodivergent condition through the Disability Confident Scheme.
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Benefits
- 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
Ready to make an impact? Apply today!
At Lloyds Banking Group, we're driven by a clear purpose; to help Britain prosper. Across the Group, our colleagues are focused on making a difference to customers, businesses, and communities. With us, you'll have a key role to play in shaping the financial services of the future, whilst the scale and reach of our Group means you'll have many opportunities to learn, grow, and develop.
We're focused on creating a values-led culture and are committed to building a workforce which reflects the diversity of the customers and communities we serve. Together we’re building a truly inclusive workplace where all of our colleagues have the opportunity to make a real difference.
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