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Hargreaves Lansdown plc
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Bristol, Bristol
Compliance Manager - permanent & FTC
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Job Type: Full-time |
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Overview
Summary We have a number of roles available in our Compliance team, with permanent and fixed term contracts on offer. Our Compliance Managers support and engage 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. Key duties and responsibilities: To work with the Head of Compliance Advice and other members of the HL Compliance team to determine which Compliance related projects and workstreams need working on and prioritising To liaise directly with the FCA on any requests they make for information To help improve the coordination, efficiency and the effectiveness of the HL Compliance Team To critically assess HL’s approach to compliance and suggest improvements Follow up required actions by monitoring and encouragement, and escalating where necessary Essential requirements Financial services or pensions related qualifications Good understanding of risk management A strong understanding of the role of the FCA within UK financial services Experience of dealing with the FCA including dealing with FCA supervision teams Good level of product knowledge and an interest in investments and pensions. The ability to interpret complex regulatory documents and communicate clearly Good at building relationships with senior management Able to work independently and manage workloads effectively