Regulatory Advice Expert (Platform)

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Hargreaves Lansdown

Excited to grow your career?

Our mission is to 'help people save and invest with confidence'. We are looking for great people to join us, so please come and invest in YOUR future at HL.

The role is a dedicated expert role. The roles and responsibilities includes the practical analysis of current, new and draft regulations, legislation and guidance, supporting the business in the implementation of new and existing regulatory requirements and expectations. This role works very closely with the Regulatory Policy Specialist.

Role Accountabilities:

• Provision of expert guidance and advice to teams across HL on regulatory matters and technical advice for tax efficient wrappers. 
• Responsible for the completion of regulatory and technical reviews of internal policies and processes for regulatory and technical accuracy and completeness, including supporting product reviews.
• Responsible for regulatory review of marketing and other regulatory documentation
• Responsible for researching and analysing current, new and draft legislation and guidance relevant to the HL Platform  
• Responsible for the implementation, management and review of 1st line regulatory mapping for all rules as they apply to HL as a platform provider. (Excluding CASS/PSR, DP, AML/MAR and business rules such as HR regulations and financial reporting regulations)
• Maintain and expand internal regulatory and technical guidance.
• Provide training on Regulatory and Advisory issues within HL. 
• Provide expert advice and guidance to the business on the generation of annual and new business illustrations and annuity illustrations, 
• Provide expert advice and guidance to the business on the completion of periodic reporting requirements, including; Client Annual Allowance reporting and TPR Scheme Return and Scheme Levy

Essential Qualifications: Educated to degree level (or equivalent), Diploma in Financial Planning (or equivalent)
Essential Knowledge: Deep knowledge of FCA rules and regulations (including COBS, SYSC, UCITS, PRIPS, IAFMD and PROD)
Essential Experience: Client focused financial services, answering detailed regulatory queries, technically reviewing literature or other communications, training or coaching, analysing or interpreting,
Essential Skills: Excellent written & verbal communication, able to apply legislation and regulatory guidance


Performance-related annual bonus scheme
25* days holiday, plus 8 bank holidays, plus 1 day additional Christmas closure time
Option to purchase up to an additional 5 days holiday each year
Pension scheme - up to 19% contribution
Flexible working options available
Enhanced parental leave benefits
Variety of travel to work schemes, including season ticket loans and cycle to work
Bike storage and shower facilities
Employee assistance programme
Volunteering opportunities
Annual events, activities and sports groups
Smart casual dress policy and dress down Fridays

We know that sometimes the 'perfect candidate' doesn't exist, and that 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. You could be just what we need!

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 Talent Acquisition team for more information.

Please note, we are unable to provide employment sponsorship to candidates.

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Hargreaves Lansdown is an equal opportunities employer and welcomes applications from all sections of the community.

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