Risk & Compliance Manager

Purpose

Reporting to 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 as appropriate. This would include elements of Risk, Compliance and Finance 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 continuous improvement of the Risk Management Framework (RMF) and its supporting policies, procedures, and processes, ensuring it is embedded effectively across LWM.
• Maintain and update the LWM Policy Matrix; ensure all associated Risk & Compliance policies (e.g., Incident Reporting Policy) remain current and demonstrate value.
• Deliver and support in the preparation of clear and comprehensive risk and compliance reports, providing context, key risks/issues, and proposed mitigating actions where appropriate.
• Lead in the development, oversight, and maintenance of LWM Risk Appetite Statements (RAS) and associated Key Indicators (KIs); lead on collation and reporting, engaging with business areas to agree actions where needed.
• Oversee and embed the Bottom-Up Risk Map (BURM) Process across LWM, including tracking completion of mitigation actions; support LWM Top-Down Risk Map (TDRM) process.
• Support and challenge the first line of defence in risk identification and management through ad hoc activities and structured RMF components (e.g., BURMs, incident management).
• Undertake root cause and trend analysis, including deep dives as required by senior management, Committees, or the Board.
• Oversee the resolution, root cause analysis, and reporting of incidents.
• Support the timely delivery and ongoing refinement of Risk Management Information (MI) to internal and external stakeholders.
• Provide guidance to the first line on regulatory obligations, general compliance, and evidencing the embeddedness of risk practices, including emerging risk identification.
• Recommend and support enhancements to risk and compliance operating models, procedures, and practices to ensure alignment with business strategy and risk appetite.
• Maintain comprehensive records using the Governance, Risk & Compliance (GRC) system (aCCelerate), demonstrating risk management development and tracking agreed actions.
• Collaborate across the Chief Risk Office, LWM Management Team, and business units to support agile and scalable compliance and risk approaches. Support the oversight, due diligence, and risk management of third-party suppliers, including incident handling and business continuity assessments.
• Support the review, management, and renewal of LWM insurance policies.
• Support LWM in the execution of the networks compliance programs and assurance activity.
• Support the LWM Data Privacy Point of Contact and Data Protection Steering Group in managing data subject rights requests, monitoring UK GDPR compliance, and maintaining a strong data protection culture.
• Support implementation and oversight of data protection policies, guidance, and legal obligations across the LWM.
• Contribute to the prevention and proportionate management of data protection risks.

Other Responsibilities

• Support the coordination, administration, and attendance of the LWM Risk Management Committee meetings and other delegated Committees.
• Engage with the wider business pragmatically to offer risk-based solutions to business problems, while influencing risk-aware culture.
• Uphold the principles of the FCA’s Consumer Duty, promoting fair and beneficial client outcomes.
• Provide a strong voice on matters of ethics, integrity, and corporate values.
• Develop and maintain effective stakeholder relationships across all business levels, including LWM Management and 7IM Executive Committee level.

Knowledge

• Minimum 10 years of industry experience, with at least 5 years in risk management.
• Deep understanding of RMF components: RCSA, Incident Management, Risk Appetite, and Key Indicators.
• Strong knowledge of FCA rules relevant to asset/wealth/fund management.
• Understanding of compliance, regulatory frameworks, and best practice in a regulated environment.
• Knowledge of EU and UK GDPR and data protection requirements.
• Experience in asset management with retail exposure preferable.
• Broad commercial understanding and ability to contextualise risk across the business.

Qualifications

• Educated to degree level (preferred).
• Professional qualifications in Risk and/or Compliance (desirable).

Skills / Other Relevant Information

• Demonstrated ability to communicate complex regulatory/risk concepts clearly and succinctly to both technical and non-technical audiences, including Executive Committee members.
• Excellent report-writing and verbal communication skills.
• Analytical mindset with the ability to understand and distil complex data and processes.
• Strong planning, organisation, and prioritisation abilities.
• Comfortable operating within a dynamic, fast-paced scale-up environment with agility and pragmatism.
• IT literate, with strong skills in Microsoft Word, Excel, and PowerPoint.
• Demonstrated ability to work independently and collaboratively; builds strong cross-functional working relationships.
• Committed to high ethical standards and aligned with organisational goals and values.
• Enthusiastic about learning and expanding knowledge of 7IM’s wider business operations and strategic objectives.