Head of Compliance Monitoring

We're looking for a strategic and experienced compliance leader to head up AJ Bell's Compliance Monitoring function, a key part of our second line of defence.

As Head of Compliance Monitoring, you'll play a vital role in ensuring the firm effectively manages regulatory risks and consistently delivers good outcomes for customers in line with FCA expectations, including Consumer Duty.

This is a senior leadership role with high visibility across the business. You'll shape and deliver a robust risk-based compliance monitoring plan, provide expert oversight and challenge, and support a strong, proactive risk and compliance culture.

What does the job involve?

• Develop and deliver AJ Bell's annual Compliance Monitoring Plan, ensuring it's risk-based, aligned with business strategy, and responsive to internal and external developments.
• Lead the delivery of thematic and routine reviews, ensuring they are thorough and meet FCA expectations (e.g., Consumer Duty, SYSC, COBS, CASS, COLL, MAR, financial crime).
• Produce clear, insightful reports for senior stakeholders, including the Chief Risk Officer, Executive Risk Committee, and Risk & Compliance Committee, highlighting findings, trends, and recommendations.
• Oversee root cause analysis, action tracking, and closure validation to ensure consistent and effective outcomes.
• Collaborate with senior leaders and first-line teams to ensure findings are understood and acted upon. Provide guidance and constructive challenge to improve controls and compliance.
• Lead, develop, and inspire a high-performing Compliance Monitoring team, fostering a culture of continuous improvement and accountability.
• Keep abreast of regulatory and business developments to ensure the monitoring programme evolves in step with change.
• Champion robust documentation, methodology, and procedures across all compliance monitoring activities.
• Support the Whistleblowing Champion in promoting a healthy whistleblowing culture and act as the lead investigator for reportable concerns.
• Support the business and the CRO with due diligence projects, assurance activities, and other key compliance tasks as needed.

• Significant experience in a senior compliance monitoring or assurance role within an FCA-regulated firm, ideally in investment platforms, wealth management, or stockbroking.
• Strong working knowledge of the UK regulatory framework, including the FCA Handbook and Consumer Duty.
• Proven ability to design, deliver, and lead risk-based compliance monitoring programmes.
• Excellent communication and stakeholder engagement skills, confident in challenging and influencing at senior levels.
• A track record of leading and developing high-performing teams.
• Strong analytical and report-writing skills, with the ability to translate technical findings into actionable business recommendations.
• Relevant qualifications (e.g. ICA, CISI, or equivalent) are desirable.
• Experience using data and analytics to enhance compliance monitoring is advantageous.

• Competitive starting salary
• Starting holiday entitlement of 28 days, increasing up to 31 days with length of service and a holiday buy and sell scheme
• A choice of pension schemes with matched contributions up to 8% (Increasing with length of service)
• Discretionary bonus scheme
• Annual free share awards scheme
• Buy As You Earn (BAYE) Scheme
• Health Cash Plan - provided by SimplyHealth
• Private healthcare scheme and dental plan
• Free gym membership, with an on-site gym providing a wide range of free classes
• Employee Assistance Programme
• Bike loan scheme
• Sick pay+ pledge
• Enhanced maternity, paternity, and shared parental leave
• Discounted nursery fees at Kids Planet on Exchange Quay
• Loans for travel season tickets
• Death in service scheme
• Paid time off for volunteer work
• Charitable giving opportunities through salary sacrifice
• Calendar of social events, including monthly payday drinks, annual Christmas party, summer party and much more
• Parking at Exchange Quay (subject to availability)
• Ongoing technical training
• Professional qualification support
• Talent development programmes
• Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off
• Monthly leadership breakfasts and lunches

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