We support agile working - click here for more information on agile working options.
Agile Working Options Other Agile Working Arrangements / Open to Discussion
Job Description Summary This role reports into a Senior Manager within Investment Risk and Governance team of the Investment Office. The role includes oversight of controls and risks primarily for the internal ACD. Support for Risk Assessment activity and senior manager assistance in the Risk and Compliance team.
Schroders Personal Wealth combines over 400 years of expertise from two leading British companies - partnering to bring financial planning services to more people in the UK.
Schroders Personal Wealth combines Lloyds Banking Group's significant customer base, multi-channel distribution and digital capabilities with Schroders' investment and wealth management expertise and technology capabilities.
Our focus is on the personal relationship we develop with our customers, underpinned by our multi-channel customer reach and our global investment expertise. Our aim is to become a top UK financial planning business within five years.
Would you like to be part of making this possible?
Based in Central London, the Investment Office oversees the management of the client investment strategies delivered through an outsourced investment management model and an internal ACD. This team has accountability for defining and overseeing appropriate investment mandates for its products, ensuring performance delivery of model portfolios and robust processes for underlying manager selection and portfolio implementation.
This role reports into a Senior Manager within Investment Risk and Governance team of the Investment Office. Key activities will include:
Oversight of controls and risks of investment management activities, primarily for the internal ACD and its funds, with the objective of maintaining operational and conduct risk within the levels set by the firm
Support IO activity in relation to Risk Assessment and other risk matters, including Conduct risk reviews and advice.
To take responsibility for and assist Senior Manager, Investment Risk & Compliance in running the Investment Office Risk Forum for investment management activities
Provide advice, guidance and direction to colleagues in Investment Office in respect of, risks or issues in ACD.
Ongoing support to internal stakeholders including Investment Office colleagues in relation to compliance, regulatory and legal matters, including support to new business development initiatives.
Design and delivery of training material to IO office in relation to legal, regulatory and compliance matters.
Design and oversee procedural controls which have relevance for the IO in its investment management activities. Review effectiveness of internal procedures.
Work effectively with other team members and provide cover for other member of the team in regulatory/governance matters
Support IO activities in implementation of regulatory change.
Experience, Skills, Capabilities required
Strong knowledge of risk practices and regulatory environment, within wealth management and/or investment management
Strong knowledge of fund management processes, instruments and products.
Strong knowledge of the regulatory rules relating to funds and to responsibilities of an ACD
Excellent communication skills both written and oral and ability to communicate with senior management.
Understanding of key regulation; COLL - UCITS - AIFMD - FUND - COBS - SYSC
Ability to work well and efficiently in a remote team
High attention to detail
Self-starter with good organisational skills
Strong understanding of ethics, conflicts of interest management, and demonstrated values and behaviours aligned to the expectations at SPW
Relevant professional qualifications and a degree preferable
Our ethos is to provide equal opportunities to all, and to ensure we represent the communities we serve.
If like us, you're more motivated by customers than by target, and you'd thrive in a culture that is values and client led - come and talk to us. Select the Apply Now button to start the conversation.
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.
Internal Number: 6307537
About Lloyds Banking Group
eFinancialCareers is a career site specializing in financial services.