Head of Compliance Monitoring

Overview

Head of Compliance MonitoringLocation: Manchester (2/3 days in office)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.Responsibilities

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.Qualifications

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.Experience leveraging data and analytics in monitoring advantageous.About this opportunity

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.Location

Manchester, with 2/3 days in the office.Employment type

Full-timeJob function

General Business and OtherIndustries

Financial Services and Investment ..... full job details .....