Compliance Manager

Hargreaves Lansdown
Bristol, United Kingdom
£41k - £61k
30 Nov 2022
15 Dec 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Excited to grow your career?

Our purpose is to empower people to save and invest with confidence. We are looking for great people to join us, so please come and invest in YOUR future at HL.

About the role

An exciting opportunity for a Compliance Manager to implement the FCA's Consumer Duty and vulnerable clients' regulations. Upon completion of the project the Compliance Manager role will pivot into providing ongoing oversight, advice and challenge of client outcomes and the broader expectations of consumer duty.

You will be joining a flexible, dynamic and experienced team, which offers you the ability to learn other areas of compliance so you can continually expand your knowledge and understanding. Our compliance team are part of the wider Risk remit, so you will also get exposure to the wider Risk function.

What you'll be doing
  • Provide advice, guidance, interpretation, and regulatory analysis on the Consumer Duty requirements including vulnerable customers whilst considering internal and external issues, considerations, and best practice.
  • Deliver regulatory oversight and challenge to the Consumer Duty project including regulatory mapping (creation / implementation / maintenance) to ensure it aligns to the FCA's expectations and timeframes.
  • Oversee and challenge on internal policies, processes, systems, and controls being proposed regarding Consumer Duty. This will include the application of rules and technical regulation throughout the client journey.
  • Drive and helps shape HL's Consumer Duty strategy through insight and recommendations.
  • Provide valuable insight from both an internal and external perspective to help solve complex problems that may arise from the interpretation and implementation of Consumer Duty.
  • Review and where required provide regulatory training on Consumer Duty in conjunction with the Compliance Training Lead.
  • Provide on-going review, oversight and where required challenge on Consumer Duty related data, metrics, and management information.
  • Working with colleagues, provide oversight activity including deep dives to assist HL in evidencing compliance with the Consumer Duty.
  • Review and oversee the creation and on-going delivery of HL's Delivery of Good Client Outcomes Assessment.
  • Advise subsidiary boards on Consumer Duty related issues tailored to each legal entity.

About you
  • Experienced in a compliance or regulatory advisory position. Additional experience of implementing large regulatory change projects will be supportive to your success in this role.
  • Deep understanding of FCA rules and regulation, with an emphasis on investment management and markets; knowledge of UK and European financial services regulation and policy; and environment and regulatory processes
  • Excellent analytical skills to e.g., interpret and apply UK regulation
  • An effective and engaging communicator, able to present complex information in simple context, adapting your style to suit your audience
  • Accomplished in forging effective relationships at all levels, skilled at influencing, negotiating and managing challenging conversations with ease
  • Able to work in a team or alone and effectively collaborate to achieve common goals plus the ability to self-manage competing workloads & effectively prioritise and deliver multiple complex workflows
  • Risk management, problem-solving and decision-making capabilities

Interview process

This will be a 2-stage interview process including a presentation.

Working Schedule

We are looking for a Compliance Manager to join our team, based in our Bristol head office, BS1 5HL. This role is a permanent role and could be full time or part time. We offer a hybrid flexible working pattern to enable you the option of working from home and coming into the office.

Why us?

Here at HL, we're the UK's number 1 investment platform for private investors, based in Bristol. For more than 40 years we've helped investors save time, tax and money on their investments.

To achieve our mission, we believe we have a workplace like no other, with constant learning, dynamic teams, and a great ethos. We're steered by core values that promote service, quality, innovation, and opportunity in everything we do.

What's on offer?
  • Discretionary annual bonus & annual pay review
  • 25* days holiday plus bank holidays and 1-day additional Christmas closure time
  • Option to purchase an additional 5 days holiday per year
  • Flexible working options available, including hybrid working
  • Pension scheme up to 11% employer contribution
  • Sharesave scheme - have a real stake in HL's future
  • Income Protection & Life insurance (4 x salary core level of cover)
  • Health care cash plans - including optical, dental, and out patientcare
  • Help@hand and an Employee Assistance Programme
  • Gympass - gym memberships and wellbeing apps available
  • Variety of travel to work schemes with free bike storage and shower facilities
  • An inhouse barista serving subsidised coffee and snacks
  • Join HL's sports, I&D networks and volunteering groups (two paid volunteering days per year)
  • LifeWorks Discounts on services, restaurants and retailers

* up to 30 days depending on role level & increasing with length of service

We know that sometimes people can be put off applying for a job if they don't tick every box. If you're excited about working for us and have most of the skills or experience we're looking for, please go ahead and apply. We'd love to hear from you!

Hargreaves Lansdown is an inclusive employer that values diversity in its workforce. We encourage applications from all individuals without regard to race, religion, gender, sexual orientation, national origin, disability or age.

This role may also be available on a flexible working or part time basis - please ask the Recruitment & Onboarding team for more information.
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