Senior Compliance Manager 12 months

Hargreaves Lansdown plc ,
Bristol, Bristol
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Overview

Your role will be to take responsibility for the delivery of compliance advice across the group, managing a team of Compliance Managers who support and engage with their business area on a range of compliance work including: providing regulatory advice, designing and implementing policy, identifying risk events, providing training, managing business change, producing MI, managing FCA visits and external reporting ROLE ACCOUNTABILITIES Providing high quality technical compliance advice to a variety of internal and external stakeholders Maintaining and developing a strong relationship with the FCA, including oversight of external reporting and managing regulatory visits Assigning responsibility for oversight of all local compliance processes to a named individual, providing a dedicated named contact with requisite specialist skills and experience Ensuring consistent access to high quality compliance services Manage an MI framework and communicate this widely throughout the business Raise Director engagement with compliance and be informed of upcoming business changes and developments Deliver annual plans to ensure a coordinated and consistent approach Manage the relationship with the FCA and the FCA supervision team EXPERIENCE / SKILLS Strong and broad knowledge of the FCA handbook - familiar with various specialist FCA Sourcebooks and CASS/ IFPRU in particular Experience as an approved person under SMCR Team management experience Experience in presenting to a Committee or Board Certificate in Risk Management or similar Financial Planning Certificate / QCF level 4 Strong analytical ability Ablity to produce compliant and appropriate policy and procedures

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