Head of Compliance Monitoring
Location: Manchester 2/3 days office
Department: Risk & Compliance
Are you an experienced compliance leader ready to make a real impact? We’re looking for a senior professional to lead the Compliance Monitoring function at a fast-growing, FCA-regulated financial services firm.
This is a high-profile role at the heart of the second line of defence. You’ll shape and deliver a risk-based compliance monitoring strategy, provide expert oversight and challenge, and play a vital role in ensuring the firm manages regulatory risks effectively while delivering good outcomes for customers in line with FCA expectations, including Consumer Duty.
What you’ll be doing:
* Design and deliver a risk-based annual Compliance Monitoring Plan aligned to business strategy and regulatory priorities.
* Lead thematic and routine reviews across key FCA rules (Consumer Duty, SYSC, COBS, CASS, COLL, MAR, financial crime).
* Produce insightful reports for senior stakeholders, highlighting findings, trends, and recommendations.
* Oversee root cause analysis, action tracking, and closure validation to drive consistent outcomes.
* Engage with senior leaders and first line teams to ensure findings are understood, acted upon, and lead to stronger controls.
* Lead, develop, and inspire a high-performing Compliance Monitoring team.
* Keep the monitoring framework up to date with regulatory and business developments.
* Support wider assurance activity, including whistleblowing investigations, due diligence, and other key compliance tasks.
What we’re looking for:
* Significant experience in senior compliance monitoring or assurance within an FCA-regulated firm (investment platforms, wealth management, or stockbroking ideal).
* Strong knowledge of the UK regulatory framework, including FCA Handbook and Consumer Duty.
* Proven ability to design, deliver, and lead monitoring programmes.
* Excellent stakeholder engagement skills with the confidence to influence at senior level.
* Experience developing and managing high-performing teams.
* Strong analytical, report-writing, and communication skills.
* Relevant qualifications (e.g. ICA, CISI, or equivalent) desirable.
* Experience leveraging data and analytics in monitoring advantageous.
✨ Why join?
This is an opportunity to take ownership of a high-impact function, shape the compliance agenda, and work closely with senior leadership in a growing financial services firm.