Compliance Operations Manager (FTC)

Hargreaves Lansdown Asset Management Limited; Bristol; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

A leading financial services company is seeking a Compliance Operations Manager for a 12-month FTC in Bristol. The role involves implementing compliance operations, managing investigations, and ensuring the organization meets regulatory standards. The ideal candidate should have relevant compliance expertise and strong stakeholder engagement skills. Flexible working patterns are available, and the company offers a comprehensive benefits package including a discretionary bonus and enhanced parental leave.

Benefits

Discretionary annual bonus

25 days holiday plus bank holidays

Flexible working options

Enhanced parental leave

Pension scheme up to 11% employer contribution

Private medical insurance

Gym memberships and wellbeing apps

Qualifications

• Relevant compliance, risk management and control expertise.
• Understanding and experience of the three-lines of defence.
• Excellent communication and people skills.

Responsibilities

• Design and implement operations for compliance.
• Produce high-quality reports and manage investigations.
• Challenging business compliance with internal frameworks.

Skills

Compliance expertise

Risk management knowledge

Stakeholder engagement

Understanding of regulatory environment

Communication skills

Job description

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 Enterprise Risk Management function as a Compliance Operations Manager on a 12 Month FTC. Reporting to the Head of Compliance Operations, you will be responsible for the implementation and embedding of our group-wide frameworks including policy management, regulatory reporting, Speak Up governance, engagement and operations (including the management of highly sensitive investigations).

What you’ll be doing

• Designing, implementing, embedding, and optimising second-line operations.
• Taking ownership of the plan designed to achieve the outcomes agreed, ensuring 2LOD operations are resilient and that processes are repeatable and efficient.
• Working to embed 2LOD operations by ensuring it is in fully integrated into the business' culture, processes, as appropriate, and is used effectively.
• Producing high quality reports on the delivery of outcomes, providing data driven insight to relevant committees and senior leadership.
• Managing and reporting on confidential Speak Up investigations.
• Challenging the business on the compliance with internal frameworks.
• Contributing towards the delivery of second-line transformation and optimisation, continually seeking opportunities to improve the way the organisation's compliance frameworks are managed.
• Support the design, delivery and embedding of the enterprise risk management framework, including but not limited to prudential risk, conduct risk and GRC tooling.

About you

• Relevant compliance, risk management and control expertise.
• Relevant knowledge of the regulatory environment.
• Stakeholder management and engagement skills.
• Understanding and experience of the three-lines of defence.
• Has a service mindset.
• Comprehensive knowledge and understanding of FS products and markets.
• Excellent communication and people skills to explain / interact / engage / influence with and between stakeholders.

Interview process

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

Working Schedule

This role is a 12 Month FTC, full time, 37.5 hours per week, Monday to Friday. We have returned to the office, however for this role we offer a flexible working pattern to enable you the option of working from home.

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 outpatient care
• 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.