Excited to grow your career?
Our purpose is to make it easy for people to save and invest for a better future. We are looking for great people to join us, so please come and invest in YOUR future at Hargreaves Lansdown.
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!
About the role
We are looking for a Head of Compliance to join the Risk function to work collaboratively across the four Chief Risk Office functions (Compliance, Financial Crime, Risk and Investment Risk) to support an agile and dynamic approach to risk management. Working with internal and external stakeholders, the Head of Compliance will proactively review and update the regulatory compliance framework and provide guidance and advice on regulatory matters across the business. You will be accountable for leading the Compliance team, providing advice, monitoring and regulatory engagement, and working across the Company business lines to find compliant solutions to business problems, whilst influencing business culture.
What you'll be doing
At least three stage interview process (assessing technical and leadership competencies) including a psychometric assessment.
Working Schedule
This role is based in Bristol head office, BS1 5HL. This role is a permanent role, full time, Monday to Friday. For this role we offer a hybrid flexible working pattern.
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?
** only available to select during our annual benefits window, in November each year
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.
Please note, we are unable to provide employment sponsorship to candidates.
Our purpose is to make it easy for people to save and invest for a better future. We are looking for great people to join us, so please come and invest in YOUR future at Hargreaves Lansdown.
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!
About the role
We are looking for a Head of Compliance to join the Risk function to work collaboratively across the four Chief Risk Office functions (Compliance, Financial Crime, Risk and Investment Risk) to support an agile and dynamic approach to risk management. Working with internal and external stakeholders, the Head of Compliance will proactively review and update the regulatory compliance framework and provide guidance and advice on regulatory matters across the business. You will be accountable for leading the Compliance team, providing advice, monitoring and regulatory engagement, and working across the Company business lines to find compliant solutions to business problems, whilst influencing business culture.
What you'll be doing
- Support the CRO and Executive Committee members in establishing and maintaining a constructive and open dialogue with the FCA and any other appropriate authorities
- Proactively review and update the regulatory compliance framework, including Compliance Manuals, Policies and Procedures, in response to changes internally and externally.
- Oversee the first line to ensure compliance with relevant rules and regulations.
- Ensure that the Executive Committee is kept fully informed of all regulatory matters including emerging regulations.
- Develop and maintain effective relationships with various stakeholders across the business.
- Ensure Compliance policies within the role remit (e.g., Personal Account Dealing Policy) remain up to date.
- Deliver clear and comprehensive governance committee compliance reports, providing MI, context, key risks/ issues and proposed mitigating actions, where applicable.
- Oversee the submission of regulatory reports, including Reg Data returns (for accuracy, tolerance and timeliness) or technical enquiries from the FCA are handled appropriately and promptly.
- Accountable for Compliance Plan (risk assessment that drives the thematic and regular reviews, prioritisation, delivery and reporting) and ensure that the Executive Committee are kept fully informed of findings and proposed actions.
- Proactively identify regulatory developments within or outside of the company as well as evolving best practices in compliance control.
- Excellent level of understanding and working knowledge of FCA rules impacting wealth, asset and fund management including platforms.
- Excellent knowledge of legislation such as FSMA and MiFID II.
- Experience in wealth, asset and fund management including platforms preferable.
- A broad business understanding with attention to detail.
- Professional qualifications in Compliance are desirable.
- Proven Head of Compliance (or similar) experience and experience of managing a team of Compliance professionals.
- Ability to assimilate and understand new regulatory information and disseminate this to the organisation, using non-technical language where possible.
- Ability to communicate appropriately at all levels of the business.
- Good written and oral communication skills, with demonstrable experience in report writing - especially correspondence with the FCA/regulatory bodies.
- An analytical mind able to "see" the complexities of procedures and regulations but then simplify issues for others.
- Methodical with attention to detail and diligent with outstanding planning abilities.
- Highly pragmatic in approach, and thrive within a fast-paced and constantly changing environment.
- IT literate, including good Word, Excel & PowerPoint skills.
- Must be a professional of high ethical standards with a constant eye on the objectives of the business.
- Team player able to build strong working relationships.
At least three stage interview process (assessing technical and leadership competencies) including a psychometric assessment.
Working Schedule
This role is based in Bristol head office, BS1 5HL. This role is a permanent role, full time, Monday to Friday. For this role we offer a hybrid flexible working pattern.
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* and annual pay review
- 25 days* holiday plus bank holidays and 1-day additional Christmas closure
- Option to purchase an additional 5 days holiday**
- Flexible working options available, including hybrid working
- Enhanced parental leave
- Pension scheme up to 11% employer contribution
- Income Protection and Life insurance (4 x salary core level of cover)
- Private medical insurance*
- Health care cash plans - including optical, dental, and outpatient care
- Health screening programme
- Help@hand - confidential support including mental health counselling and remote GP
- Wellhub - unlimited access to fitness providers and wellness coach sessions
- Variety of travel to work schemes with bike storage and shower facilities
- Inhouse barista and deli serving subsidised coffee and sandwiches
- Two paid volunteering days per year
** only available to select during our annual benefits window, in November each year
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.
Please note, we are unable to provide employment sponsorship to candidates.