Hargreaves Lansdown
Head of Compliance Framework and Insights
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About the role
The Head of Compliance Framework and Insights (F&I) is a new senior leadership position, responsible for ensuring the Compliance framework remains robust and aligned with the wider Risk, Financial Crime and Group policy landscape. Acting on behalf of the Director of Compliance, the Head of Compliance F&I will own the Compliance policy suite, ensuring it remains current, effective and fit for purpose, supported by clearly defined and measurable controls. The Head of Compliance F&I will also lead the annual Compliance and Control Effectiveness assessment and reporting process, providing assurance on the effectiveness of the Compliance function and regulatory control framework. In addition, the Head of Compliance F&I will oversee the regulatory change and horizon scanning activity in the second line, ensuring emerging regulatory developments are identified, accessed and communicated effectively across HL and relevant external stakeholders. The role will lead and be responsible for maintaining and promoting constructive, transparent and effective relationships with the FCA and other relevant regulatory bodies. They will deliver ongoing regulator sentiment analysis, providing the Executive Risk Committee, Executive Leadership Team and Board with insights into the regulatory priorities, expectations and areas of focus, together with an assessment of HL’s current positioning, associated risks and opportunities. They will lead on proactive preparation of our SMFs and executives on their regular engagement with the FCA. This position provides strategic leadership and critical second-line oversight and challenge across the business, supporting compliance with key regulatory objectives. The Head of Compliance F&I will utilise their commercial acumen and client focused approach to provide proportionate, pragmatic and risk-based compliance advice to the business, helping navigate complex regulatory challenges while support HL’s regulatory compliance and delivery of good client outcomes.
As a member of the Compliance Leadership Team, the Head of Compliance F&I will lead the Framework and Insights team, working collaboratively with the other Heads of Compliance and the wider Risk and Financial Crime functions as well as the first line. The role holder will champion continuous improvement, identify opportunities to streamline processes, improve the use of AI, data and management information, and optimise team capacity and capability to maximise the effectiveness and value of the Team.
The Head of Compliance F&I is expected to effectively deputise for the Director of Compliance where required, including through committees chaired and/or attended by the Director of Compliance. The role will support the Director of Compliance and Chief Risk Officer in shaping HL’s regulatory strategy, fostering trusted regulatory relationships and prompting a positive and credible regulatory profile.
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.
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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.
- Coordinate and oversee the preparation of briefing materials, regulatory engagement packs, and executive pre-briefings to support meetings and interactions with the FCA and other regulatory stakeholders.
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.
- Lead from the Compliance F&I team with contribution to the content and the oversight of the regular Compliance reporting to various committees including the ERC and Board Risk Committee, with regular and/or ad hoc attendance as required and agreed with the Director of Compliance.
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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
- Regulatory engagement and insights, including through experience at the FCA or consulting firms
- Excellent people leadership skills, with experience managing and developing a team.
- Excellent stakeholder engagement and influencing skills – internal and external.
- Organisational skills to prioritise and deliver multiple complex work-flows
- Risk management, problem-solving and decision making
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
- Wellhub - unlimited access to fitness providers and wellness coach sessions
- Variety of travel to work schemes with bike storage and shower facilities
- Inhouse barista and deli serving subsidised coffee and sandwiches
- Two paid volunteering days per year
*
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