Head of Compliance Framework and Insights

Excited to grow your career?

Our purpose is to make it easy for people to save and invest for a better future. We are looking for great people to join us, so please come and invest in YOUR future at Hargreaves Lansdown.

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

What you’ll be doing

Leadership & Management of the Compliance F&I Team

Provide direct leadership and people management to a team of 6 within the Compliance F&I function.

• Provide strategic leadership, direction and people management to the Compliance Framework & Insights function.
• Establish clear objectives, accountabilities and performance expectations, ensuring delivery against departmental priorities and service standards.
• Develop and maintain a high-performing team culture that promotes collaboration, continuous improvement, operational excellence and innovation.
• Lead, coach and develop team members, supporting career progression, succession planning and professional capability development.
• Ensure the team has the capacity, capabilities and operating model required to meet evolving business and regulatory demands.
• Drive efficiencies across the team through the optimisation of processes, effective use of management information and technology, and the continuous enhancement of team effectiveness and service delivery.

Regulatory liaison

• Lead the firm's strategic regulatory engagement activities and act as a principal point of contact with the FCA and other relevant regulatory bodies on behalf of the Director of Compliance.
• Promote and maintain constructive, transparent and trusted relationships with regulators, supporting HL's objective of maintaining a positive and credible regulatory profile.
• Oversee the Team and ensure that all regulatory interactions, commitments and outcomes are recorded, tracked and managed through an effective and sustainable engagement framework.
• Develop and maintain regulatory engagement management information, delivering meaningful insights and analysis to support decision-making by the Director of Compliance, Executive Leadership Team (ELT), Executive Committees and the Board.
• Provide timely and insightful updates on regulatory interactions, emerging themes and regulatory sentiment, ensuring senior stakeholders remain informed of matters relevant to HL's strategic and regulatory priorities.

Horizon scanning, consultation responses and regulatory change

• Establish and lead the second-line capability for horizon scanning, regulatory change assessment and strategic regulatory insight across the Group.
• Identify, assess and communicate the implications of emerging regulatory developments, supporting the business in developing appropriate and proportionate strategic responses.
• Determine and coordinate the second-line approach to regulatory change oversight, ensuring ownership is allocated appropriately across Compliance Framework & Insights and Compliance Advice based on complexity, materiality and cross-functional impact.
• Provide high-quality regulatory advice and challenge to governance committees and senior management on forthcoming regulatory requirements, in partnership with the Compliance Advice function.
• Support the development of HL's external policy engagement strategy through collaboration with Corporate Affairs and other stakeholders.
• Coordinate and oversee the development of consultation responses on behalf of HL Group, ensuring positions are aligned, evidence-based and strategically informed.
• Influence and support HL’s engagement with policymakers, regulators and industry bodies on regulatory developments impacting the Group.

Governance and reporting

• Be a key contributing member of the Regulatory Governance Forum and support the Director of Compliance in assessing the regulatory risk exposure against the regulatory risk appetite.
• Represent Compliance at governance committees, forums and working groups, either as the primary Compliance representative or as delegate for the Director of Compliance, as required.
• Provide regulatory expertise and strategic support to the CEO's Office, Corporate Affairs and other senior stakeholder groups on regulatory matters and stakeholder engagement.

Compliance framework and policies

• Own the Compliance policy framework across HL Group, ensuring policies remain current, proportionate, measurable and aligned to regulatory requirements and business objectives.
• Work collaboratively with Compliance Advice, Compliance Monitoring and Compliance Operations to ensure policies and framework requirements can be effectively implemented, monitored, challenged and evidenced.
• Lead the annual Compliance Effectiveness and Control Assessment, providing an objective evaluation of the effectiveness of the Compliance function, framework and supporting controls.
• Own the Compliance Risk Assessment process, coordinating cross-functional input to ensure an accurate assessment of regulatory and compliance risk exposure.
• Establish and maintain meaningful management information, metrics and reporting to assess the effectiveness of the Compliance Framework and support continuous improvement initiatives.
• Drive the ongoing evolution of the Compliance Framework through the identification of efficiencies, simplification opportunities and improvements in governance, reporting and oversight processes, as well as utilising AI tools and evolving technology to enhance the efficiency and effectiveness of the Risk and Compliance function.

About you

• Experience: 10 years+ in Compliance roles or similar in a relevant FS sector. Skills:
• Comprehensive knowledge and understanding of:
  • Relevant FS products and markets
  • UK and European financial services regulation and policy environment and regulatory processes
  • HL's business strategy and proposition

Interview process

A 2-stage interview process, with the first consisting of competency-based questions and a task.

Working Schedule

The Head of Compliance Framework and Insights role is a permanent, full time, 37.5 hours per week, Monday to Friday. Our office is based in Bristol, BS1 5HL. Hybrid working is available where only 3 days a week is required in 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* and annual pay review 
• 25 days* holiday plus bank holidays and 1-day additional Christmas closure 
• Option to purchase an additional 5 days holiday**  
• Flexible working options available, including hybrid working  
• Enhanced parental leave 
• Pension scheme up to 11% employer contribution 
• Income Protection and Life insurance (4 x salary core level of cover)  
• Private medical insurance* 
• Health care cash plans - including optical, dental, and outpatient care 
• Health screening programme
• Help@hand - confidential support including mental health counselling and remote GP 

* dependant on role level 

** only available to select during our annual benefits window, in November each year 

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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.