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- Tasks: Lead compliance monitoring for regulatory reporting and ensure adherence to regulations.
- Company: Join a leading financial services firm with a strong compliance culture.
- Benefits: Enjoy a competitive salary, hybrid working options, and professional development opportunities.
- Why this job: Make a real impact in compliance while developing your career in a dynamic environment.
- Qualifications: Experience in risk and compliance within the financial services sector is essential.
- Other info: Collaborate with senior leaders and build strong relationships across the organisation.
The predicted salary is between 36000 - 60000 £ per year.
Reporting to the SM Compliance Monitoring "Specialist" Team Lead, the Senior Compliance Monitoring Manager will take the lead for a part of the Group's Compliance Monitoring programme, specifically focussed on Compliance Regulatory Reporting. Working in harmony across the "Regular" and "Thematic" Monitoring Teams to deliver high quality compliance-focused assurance and challenge. The role and team exists to meet regulatory requirements of Compliance Monitoring.
You will take the lead in establishing a risk based compliance monitoring programme to monitor Compliance Regulatory Reporting obligations of HL, to ensure compliance with necessary regulatory provisions. 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 the entire range of HL's regulated entities, products and services.
We are looking for a Senior Compliance Monitoring Manager to join our compliance team. 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.
Role Accountabilities
- Delivery of the Group's Compliance Monitoring Plan
- When required, undertaking monitoring reviews or leading the team on reviews
- Challenging SMFs and senior leaders (verbally and in writing) on the results of monitoring
- Contributing to the development of the Compliance Monitoring function in terms of methodology, process and procedures
- Contributing to and offering thought leadership to Compliance Monitoring offering suggestions leveraged from experience
- Maintaining appropriate processes for monitoring and overseeing the work performed by action owners to address deficiencies raised through monitoring
- Working with or alongside Risk Assurance colleagues to achieve integrated 2 LOD assurance
- Deputising for the SM Compliance Monitoring "Specialist" Team Lead where required relevant to area of coverage
- Attending relevant Committee meetings, relevant to areas of coverage, to report on the progress of the thematic plan, the results of monitoring activities and the status of open and overdue management actions
- Building relationships across the first, second and third lines and maintaining strong relationships with senior managers.
Skills and Experience
- Experience in a risk and compliance role in a relevant FS sector, with demonstrable experience of delivering an effective Compliance monitoring or assurance programme
- Extensive knowledge of the regulatory environment and the three-lines of defence model
- Comprehensive knowledge and understanding of FS products and markets, of UK and European financial services regulation and policy environment and regulatory processes and of HL's business
- 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.
- Solution focused mindset, able to use your own experience to develop innovative solutions and resolve complex issues
- Experience of working in a changing environment, striving for continuous improvement
- Hold or be working towards industry relevant professional qualifications
Interview Process
There will be a two-stage selection process, with a task.
Senior Compliance Monitoring Manager - Regulatory 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 - Regulatory in Bristol
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and regulatory space. Attend industry events or webinars, and don’t be shy about introducing yourself. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for those interviews! Research the company’s compliance monitoring practices and think about how your experience aligns with their needs. Practise answering common interview questions, especially around compliance challenges and solutions.
✨Tip Number 3
Showcase your expertise! During interviews, share specific examples of how you’ve successfully managed compliance monitoring programmes. Use metrics to demonstrate your impact – numbers speak volumes!
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re genuinely interested in joining our team. Don’t miss out on this opportunity!
We think you need these skills to ace Senior Compliance Monitoring Manager - Regulatory in Bristol
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Monitoring Manager role. Highlight your experience in compliance and regulatory reporting, and don’t forget to showcase your skills in building relationships and challenging senior leaders.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for our compliance team. Mention specific experiences that align with the job description and show us your passion for compliance monitoring.
Showcase Your Problem-Solving Skills: In your application, give examples of how you've tackled complex compliance issues in the past. We love a solution-focused mindset, so let us know how you’ve developed innovative solutions in your previous roles.
Apply Through Our Website: We encourage you to apply through our website for the best chance of success. It’s straightforward and ensures your application gets to the right people. Plus, we can’t wait to see what you bring to the table!
How to prepare for a job interview at Hargreaves Lansdown Asset Management Limited
✨Know Your Regulatory Stuff
Make sure you brush up on the latest UK and European financial services regulations. Being able to discuss specific regulatory requirements and how they impact compliance monitoring will show that you're not just familiar with the rules, but that you can apply them in practice.
✨Demonstrate Your Experience
Prepare to share concrete examples from your past roles where you've successfully delivered compliance monitoring or assurance programmes. Highlight any challenges you faced and how you overcame them, as this will showcase your problem-solving skills and experience in a risk and compliance role.
✨Build Relationships
Since the role involves working closely with various teams, think about how you can demonstrate your ability to forge effective relationships. Be ready to discuss how you've influenced or negotiated with senior leaders in previous positions, as this will be key to succeeding in this role.
✨Show Your Solution-Focused Mindset
Think of innovative solutions you've developed in past roles to resolve complex compliance issues. Be prepared to discuss these during the interview, as it will highlight your proactive approach and ability to adapt in a changing environment.
