Senior Compliance Monitoring Manager

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.

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

An exciting opportunity has arisen to join our Compliance team as a Senior Compliance Monitoring Manager. You will support the team to provide assurance and challenge to the business on its compliance with regulatory requirements. You will be responsible for monitoring and testing the controls the business has implemented to ensure that it is effectively complying with applicable rules and principles. It operates across all the entire range of HL's regulated entities, products and services.

What you'll be doing

• Support delivery of the Group's Compliance Monitoring Plan with focus on the "regular" monitoring plan.
• Undertaking monitoring reviews or, when required, leading a team on reviews.
• Challenging SMFs and senior leaders on the results of monitoring.
• Contributing to the development of the Compliance Monitoring function in terms of methodology, process and procedures.
• Maintaining appropriate processes for monitoring and overseeing the work performed by action owners to address deficiencies raised through monitoring.
• Working with co-source partners to deliver reviews where industry insight or specific SME knowledge is required.
• Working with or alongside Risk Assurance colleagues to achieve integrated 2LOD assurance.
• Deputising for the Senior Compliance Monitoring Manager Regular Team Lead.
• Building and maintaining strong relationships with senior managers across the first, second and third lines.

About you

• Experience in risk and compliance roles in a relevant Financial Services sector, with demonstrable experience of delivering and management responsibility of an effective Compliance monitoring or assurance programme.
• Relevant knowledge of the regulatory environment.
• Comprehensive knowledge and understanding of Financial Services products and markets; of UK and European financial services regulation and policy environment and regulatory processes.
• Skilled at communicating issues simply and challenging effectively.
• Accomplished in forging effective relationships with colleagues at all levels, skilled at influencing, negotiating, and managing challenging conversations with ease.
• Understanding and experience of the three-lines of defence model.
• Solution focused mindset, able to use your own experience to develop innovative solutions and resolve complex issues.

Interview process

This will be a two-stage interview process, consisting of a competency based interview and an assessment task.

Working Schedule

This role is permanent, full time, 37.5 hours per week, Monday to Friday. We have returned to the office, however for this role 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 at annual enrolment
• Flexible working options available, including hybrid working
• Enhanced parental leave
• 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)
• Private medical insurance*
• 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

* dependant on role level

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.