Risk & Compliance Manager

Seven Investment Management LLP; United Kingdom; On-site; GBP 70,000 - 100,000; Full time

Job summary

A leading investment firm is seeking a Risk Manager to oversee the Groupwide Risk Management Framework within Wealth Management. The role involves supporting the Chief Risk Officer and ensuring compliance with legal and regulatory requirements. Ideal candidates will have extensive experience in risk management and a clear understanding of relevant regulations and frameworks. Join us to contribute to a culture of risk-aware solutions and deliver exceptional outcomes for clients.

Qualifications

• Minimum 10 years of industry experience, with at least 5 in risk management.
• Deep understanding of RMF components like RCSA and Incident Management.
• Strong knowledge of FCA rules relevant to asset/wealth management.

Responsibilities

• Support the CRO in discharging duties related to legal and regulatory requirements.
• Lead the delivery and improvement of the RMF and its policies.
• Develop and oversee Risk Appetite Statements and Key Indicators.

Skills

Risk Management

Compliance

Communication

Analytical Skills

Stakeholder Engagement

Planning and Organization

Education

Degree-level education

Professional qualifications in Risk and/or Compliance

Tools

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Job description

About The Role

Purpose

Reporting to the Chief Risk Officer, the role will be responsible for assisting with the embedding of the Groupwide Risk Management Framework (RMF) and its components within Lync Wealth Management, including elements of Risk, Compliance, and Financial Crime Prevention.

Responsibilities

Risk & Compliance

• Support the Chief Risk Officer (CRO) in discharging duties in line with legal, regulatory, and business requirements.
• Lead and support the delivery, maintenance, and improvement of the RMF and its policies, procedures, and processes across LWM.
• Maintain and update the LWM Policy Matrix; ensure all Risk & Compliance policies remain current and valuable.
• Prepare risk and compliance reports with relevant context, risks/issues, and mitigation actions.
• Develop and oversee LWM Risk Appetite Statements (RAS) and Key Indicators (KIs), reporting and engaging with business areas for actions.
• Oversee the Bottom-Up Risk Map (BURM) process, including mitigation tracking, and support the Top-Down Risk Map (TDRM) process.
• Assist the first line of defence in risk identification and management through ad hoc and structured activities.
• Conduct root cause and trend analysis, including deep dives for senior management and the Board.
• Manage incident resolution, root cause analysis, and reporting.
• Deliver and refine Risk Management Information (MI) to stakeholders.
• Guide the first line on regulatory obligations, compliance, and risk practices, including emerging risks.
• Recommend improvements to risk and compliance operating models and procedures.
• Maintain records in the Governance, Risk & Compliance system (aCCelerate), tracking actions and developments.
• Collaborate across teams to support agile compliance and risk management, including third-party risk assessments.
• Support insurance policy management and renewal.
• Assist with compliance programs, assurance activities, and data protection initiatives, including GDPR compliance and data subject rights management.

Other Responsibilities

• Coordinate and attend LWM Risk Management Committee meetings and other delegated committees.
• Engage with the business to promote risk-aware solutions and culture.
• Uphold FCA's Consumer Duty principles, promoting fair client outcomes.
• Maintain strong stakeholder relationships at all levels.

About You

Knowledge

• Minimum 10 years of industry experience, with at least 5 in risk management.
• Deep understanding of RMF components: RCSA, Incident Management, Risk Appetite, KIs.
• Strong knowledge of FCA rules relevant to asset/wealth management.
• Understanding of compliance, regulatory frameworks, and best practices in regulated environments.
• Knowledge of EU and UK GDPR and data protection standards.
• Experience in asset management with retail exposure is preferable.
• Broad commercial understanding with risk contextualization skills.

Qualifications

• Degree-level education (preferred).
• Professional qualifications in Risk and/or Compliance (desirable).

Skills / Other Relevant Information

• Ability to communicate complex regulatory and risk concepts clearly to technical and non-technical audiences, including executives.
• Excellent report-writing and verbal communication skills.
• Analytical mindset with data and process understanding.
• Strong planning, organization, and prioritization skills.
• Comfortable in a fast-paced, dynamic environment with agility and pragmatism.
• Proficient in Microsoft Word, Excel, and PowerPoint.
• Ability to work independently and collaboratively, building cross-functional relationships.
• High ethical standards aligned with organizational values.
• Eager to learn and expand knowledge of the company's operations and strategic goals.