Head of Regulatory (Compliance)
Hymans Robertson LLP
Glasgow, UK
Published today
Regulatory Compliance
Full time
The Vacancy
We currently have an exciting opportunity to join us in a Head of Regulatory role. We would be happy for you to work in our Edinburgh, Glasgow or London office and we support flexible/agile working. We are open to considering candidates on a part time or full-time basis
What will your role look like?
Hymans Robertson LLP is an Authorised Professional Firm, authorised by the FCA through a licence from the Institute and Faculty of Actuaries. As Head of Regulatory, you will take ownership of our compliance framework approach and engagement with the wider business and lead the management of the Regulatory team. This role is key in supporting our SMF16/17 (Compliance Oversight & MLRO).
This is a great opportunity for someone looking to further their career in regulatory compliance within a professional services firm environment. The expectation for the individual is that they have good influencing and stakeholder management skills and can operate with a pro-active and inquisitive mindset to support the business units in the management of regulatory compliance risk.
The individual should have had significant experience of a senior/leading role in a compliance team of an FCA regulated firm. Experience of working in a regulated Designated Professional Body firm (IFoA) would be an advantage.
Reporting directly to the Chief Risk Officer, you will be vital in collaborating with a range of key stakeholders in providing clear and robust compliance advice and support to ensure that the firm remains compliant with its regulatory obligations
Though this is a varied role, your key tasks will include:
Essential:
A more detailed list of requirements for this position is available within the role profile - which is available on request.
In addition to a competitive salary and access to our profit share scheme, we offer:
Together, we've been building better futures for over 100 years. For our people, our clients and their people, our communities and the environment.
We thrive on tackling complex problems. And we believe those problems are best solved by diverse teams - diverse in skills, approaches and backgrounds. Our independence lets our people be themselves and think freely, while working in a collaborative, supportive environment. We love innovative, independent thinking and want everyone to share their ideas.
Working alongside employers, trustees and financial services institutions, we offer pensions, investments, benefits and risk consulting services, as well as data and technology solutions. With over 1000 employees and counting, we're one of the leading consultancies in our field and are proud to be recognised by numerous industry awards.
We're committed to developing our people and encourage everyone to carve out their own career path. We've many colleagues who started out in one team in the business and have ended up somewhere completely different, having had the chance to develop new skills and explore new passions.
We are continually working to improve our inclusive culture and employ diverse talent. We therefore welcome applications from people from all backgrounds, which includes but isn't limited to: age, disability, ethnic heritage, gender, marital or civil partnership status, neurodiversity, religion, sexual orientation, and socio-economic background.
Our hybrid working model offers the best of both worlds - home working as well as a fun, collaborative office environment - meaning flexible working patterns to accommodate individual needs. Find out more about our careers here.
If you need any assistance in relation to a personal requirement, medical condition or neurological difference during our selection process then please let us know.
Together, we can make this the best job you'll ever have.
We Offer
Our culture
We live and breathe our four values - friendly, confident, partnering and straightforward - and genuinely care about out people, clients, community and the environment.
Job satisfaction
Every employee can genuinely make a difference and contribute towards achieving our purpose - together, building better futures. Whether that's helping our clients build more secure financial futures, using your 3 days volunteering or helping us reduce our carbon footprint.
Reward and wellbeing
We offer competitive salaries, a share of company profits and an award-winning benefits package. We also take your mental, physical, social and financial wellbeing seriously, both in and outside of work.
Flexible working
We trust our people to work in a pattern that suits their circumstances with a healthy balance of home and office working.
Latest technology
We use the most up-to-date technology and software to match our ground-breaking business solutions that make life easier for us and our clients.
Career development
There is no linear path - learning opportunities are plentiful and empower you to carve out your own career.
We currently have an exciting opportunity to join us in a Head of Regulatory role. We would be happy for you to work in our Edinburgh, Glasgow or London office and we support flexible/agile working. We are open to considering candidates on a part time or full-time basis
What will your role look like?
Hymans Robertson LLP is an Authorised Professional Firm, authorised by the FCA through a licence from the Institute and Faculty of Actuaries. As Head of Regulatory, you will take ownership of our compliance framework approach and engagement with the wider business and lead the management of the Regulatory team. This role is key in supporting our SMF16/17 (Compliance Oversight & MLRO).
This is a great opportunity for someone looking to further their career in regulatory compliance within a professional services firm environment. The expectation for the individual is that they have good influencing and stakeholder management skills and can operate with a pro-active and inquisitive mindset to support the business units in the management of regulatory compliance risk.
The individual should have had significant experience of a senior/leading role in a compliance team of an FCA regulated firm. Experience of working in a regulated Designated Professional Body firm (IFoA) would be an advantage.
Reporting directly to the Chief Risk Officer, you will be vital in collaborating with a range of key stakeholders in providing clear and robust compliance advice and support to ensure that the firm remains compliant with its regulatory obligations
Though this is a varied role, your key tasks will include:
- Own the strategy, business plan and budget for Regulatory team
- Own and provide effective compliance advice and guidance to senior management and business units
- Investigate and address compliance issues and breaches
- Coordinate and support second line of defence oversight; monitor compliance with regulatory requirements and internal policies and oversee our compliance monitoring plan
- Produce and present effective Management Information to senior management, the Audit and Assurance Group and relevant Board(s).
- To operationally act as the Deputy Money Laundering Reporting Officer and thereby ensure appropriate AML/Financial Crime policies, procedures, systems and controls are appropriately drafted and applied in practice.
- Manage and oversee all relevant regulatory reporting and communication requirements including proactively supporting open relationships with the relevant regulators (FCA and IFoA).
- Develop, support and deliver appropriate regulatory training requirements to the firm to ensure relevant Board members /staff maintain and enhance their appropriate regulatory competence.
- Develop and manage four direct reports and ensure the Regulatory team are recognised internally as professional, partnering and solutions driven and so our colleagues proactively seek Regulatory support.
- Able to take on responsibility and to quickly gain credibility and able to influence and enlist support
- Excellent at building relationships and working collaboratively with a wide range of people
- Excellent communicator with good verbal, written and listening skills
- Resilience to constructive challenge and openness and flexibility of approach to others' views
- Pragmatic and solutions driven
- Able to take a pro-active approach and present new ideas and ways of working
- Positive and enthusiastic about change; flexible and adaptable
Essential:
- Relevant significant experience in a senior/leading role in a compliance team in an FCA regulated firm
- Strong understanding of the FCA Handbook and other relevant regulations such as the Bribery Act or Money Laundering regulations and their application to regulated firms.
- Proven ability to deliver
- Relevant professional qualification, for example a Compliance Diploma
- Experience in a Designated Professional Body or an IFoA regulated firm
- Exposure to the pensions or professional services industry.
- Understanding of Authorised Professional Firm regulations.
A more detailed list of requirements for this position is available within the role profile - which is available on request.
In addition to a competitive salary and access to our profit share scheme, we offer:
- A flexible selection of employee benefits, so you can choose a package that best matches your lifestyle and needs.
- A collaborative and encouraging work environment where your thinking and ideas are encouraged.
- On site mental health and wellbeing assistance.
- A commitment to helping you develop both personally and professionally, with mentoring opportunities and access to our award-winning learning portal, Aspire.
- Regular social activities, in addition to three days paid volunteering leave each year and a day's leave to celebrate your birthday.
- Hybrid working so you can enjoy the positive wellbeing of working from home as well as the benefits of meeting colleagues in our sociable, modern office environments - with the expectation of two 'in-office' days per week.
- A flexible working window, allowing colleagues the freedom to work flexibly between the hours of 7am and 7pm.
Together, we've been building better futures for over 100 years. For our people, our clients and their people, our communities and the environment.
We thrive on tackling complex problems. And we believe those problems are best solved by diverse teams - diverse in skills, approaches and backgrounds. Our independence lets our people be themselves and think freely, while working in a collaborative, supportive environment. We love innovative, independent thinking and want everyone to share their ideas.
Working alongside employers, trustees and financial services institutions, we offer pensions, investments, benefits and risk consulting services, as well as data and technology solutions. With over 1000 employees and counting, we're one of the leading consultancies in our field and are proud to be recognised by numerous industry awards.
We're committed to developing our people and encourage everyone to carve out their own career path. We've many colleagues who started out in one team in the business and have ended up somewhere completely different, having had the chance to develop new skills and explore new passions.
We are continually working to improve our inclusive culture and employ diverse talent. We therefore welcome applications from people from all backgrounds, which includes but isn't limited to: age, disability, ethnic heritage, gender, marital or civil partnership status, neurodiversity, religion, sexual orientation, and socio-economic background.
Our hybrid working model offers the best of both worlds - home working as well as a fun, collaborative office environment - meaning flexible working patterns to accommodate individual needs. Find out more about our careers here.
If you need any assistance in relation to a personal requirement, medical condition or neurological difference during our selection process then please let us know.
Together, we can make this the best job you'll ever have.
We Offer
Our culture
We live and breathe our four values - friendly, confident, partnering and straightforward - and genuinely care about out people, clients, community and the environment.
Job satisfaction
Every employee can genuinely make a difference and contribute towards achieving our purpose - together, building better futures. Whether that's helping our clients build more secure financial futures, using your 3 days volunteering or helping us reduce our carbon footprint.
Reward and wellbeing
We offer competitive salaries, a share of company profits and an award-winning benefits package. We also take your mental, physical, social and financial wellbeing seriously, both in and outside of work.
Flexible working
We trust our people to work in a pattern that suits their circumstances with a healthy balance of home and office working.
Latest technology
We use the most up-to-date technology and software to match our ground-breaking business solutions that make life easier for us and our clients.
Career development
There is no linear path - learning opportunities are plentiful and empower you to carve out your own career.