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- Tasks: Lead compliance monitoring and ensure regulatory adherence in a dynamic financial services environment.
- Company: Join the UK's number 1 investment platform, Hargreaves Lansdown, based in Bristol.
- Benefits: Enjoy flexible working, competitive salary, bonuses, and comprehensive health benefits.
- Why this job: Make a real impact in compliance while growing your career in a supportive team.
- Qualifications: Experience in risk and compliance within financial services is essential.
- Other info: Embrace a culture of learning, innovation, and diversity with excellent career growth opportunities.
The predicted salary is between 36000 - 60000 £ per year.
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 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.
Senior Compliance Monitoring Manager in Bristol employer: Hargreaves Lansdown Asset Management Limited
Contact Detail:
Hargreaves Lansdown Asset Management Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Monitoring Manager in Bristol
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for those interviews! Research the company, understand their values, and think about how your experience aligns with their needs. Practise common interview questions and be ready to showcase your skills.
✨Tip Number 3
Follow up after interviews! A quick thank-you email can go a long way in showing your enthusiasm for the role. It keeps you on their radar and reinforces your interest in joining the team.
✨Tip Number 4
Don’t hesitate to apply through our website! If you’re excited about the role and meet most of the criteria, just go for it. We love hearing from passionate candidates who want to invest in their future with us.
We think you need these skills to ace Senior Compliance Monitoring Manager in Bristol
Some tips for your application 🫡
Show Your Passion: When you're writing your application, let your excitement for the role shine through! We want to see that you’re genuinely interested in joining our team and making a difference in compliance monitoring.
Tailor Your Experience: Make sure to highlight your relevant experience in risk and compliance roles. We’re looking for specific examples that demonstrate your skills and how they align with what we need for this Senior Compliance Monitoring Manager position.
Be Clear and Concise: Keep your application straightforward and to the point. Use simple language to communicate your ideas effectively. We appreciate clarity, especially when it comes to complex compliance issues!
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. We can’t wait to hear from you!
How to prepare for a job interview at Hargreaves Lansdown Asset Management Limited
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of the regulatory environment and compliance monitoring processes. Be ready to discuss specific regulations relevant to the Financial Services sector, as well as how you've applied this knowledge in past roles.
✨Showcase Your Leadership Skills
As a Senior Compliance Monitoring Manager, you'll need to lead teams and challenge senior leaders. Prepare examples of how you've successfully led teams or influenced decision-makers in previous positions. Highlight your ability to manage challenging conversations with ease.
✨Demonstrate Your Problem-Solving Mindset
Be ready to discuss how you've tackled complex compliance issues in the past. Think of specific examples where you developed innovative solutions or improved existing processes. This will show that you're solution-focused and can think critically under pressure.
✨Build Relationships
Since this role involves working closely with various stakeholders, be prepared to talk about how you've built and maintained strong relationships in your previous roles. Share examples of how you've effectively communicated and collaborated with colleagues at all levels.
