Head of Compliance Monitoring

Location: Manchester – 2-3 days office per week
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.