Compliance Monitoring Officer

We’re looking for a Compliance Monitoring Officer to join our Risk & Compliance function on a 12-month fixed-term basis to cover maternity leave. This is a fantastic opportunity to join our team and make an immediate impact. Ideally, we are looking for someone to start in September or October.

This role plays a key part in maintaining and improving compliance in a dynamic and regulated financial services environment. You’ll help ensure we remain aligned with the FCA’s expectations, especially around Consumer Duty, by acting as a champion of ethical practice and regulatory excellence.

What you\’ll do

• Conduct detailed thematic and regular compliance reviews in line with our Compliance Monitoring Plan.
• Assess how effectively good customer outcomes are embedded in business practices, with a focus on Consumer Duty and risk control effectiveness.
• Support the Head of Compliance Monitoring in maintaining and delivering the Compliance Monitoring Plan.
• Provide insightful feedback from reviews, fostering collaborative improvement across the business.
• Track, follow up, and close agreed actions from reviews using the Action Tracker.
• Ensure consumers remain at the heart of our decision-making and that we consistently deliver fair and positive outcomes.
• Investigate breaches to understand root causes and confirm appropriate corrective actions are taken.
• Maintain compliance registers, including breach and gifts/hospitality logs, and identify potential conflicts of interest.

What you\’ll bring:

• Experience working in a compliance or quality assurance function within an FCA regulated firm. Experience in investment platforms, stockbroking, or similar sectors is beneficial, but we welcome applications from other regulated environments.
• Strong understanding of compliance monitoring and testing methodologies.
• Working knowledge or awareness of the UK regulatory regime and broader EU regulatory framework.
• Familiarity with the FCA Handbook, particularly COBS, SYSC, Financial Crime, CASS, MAR, and the Consumer Duty.
• Awareness of anti-money laundering legislation, JMLSG guidance, and FCA financial crime prevention expectations.
• A proactive, analytical mindset and excellent attention to detail.
• Strong communication skills and the ability to build constructive relationships across teams.

Start date: Ideally, we are looking for someone to join us in September or October, but we can be flexible for the right candidate.

About us:

AJ Bell is one of the fastest-growing investment platform businesses in the UK offering an award-winning range of solutions that caters for everyone, from professional financial advisers to DIY investors with little to no experience. We have over 593,000 customers using our award-winning platform propositions to manage assets totaling more than £90.4 billion. Our customers trust us with their investments, and by continuously striving to make investing easier, we aim to help even more people take control of their financial futures.

Having listed on the Main Market of the London Stock Exchange in December 2018, AJ Bell is now a FTSE 250 company.

Headquartered in Manchester with offices in central London and Bristol, we now have over 1,500 employees and have been named one of the UK\’s \’Best 100 Companies to Work For’ for six consecutive years and in 2024 named a Great Place to Work.

Our perks and benefits

• Starting holiday entitlement of 25 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 6%.
• 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 on-site gym providing a wide range of free classes.
• Employee Assistance Programme.
• Sick pay+ pledge.
• Enhanced maternity, paternity, and shared parental leave.
• Discounted nursery fees at Kids Planet on Exchange Quay.
• Loans for travel season tickets.
• 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.
• Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off.
• Monthly leadership breakfasts and lunches.

At AJ Bell, our people are the heart of our culture. We believe in building strong connections by working together. That\’s why we offer a hybrid working model, where you’ll spend a minimum of 50% of your working time per month in the office. For new team members, an initial period will be full-time in the office to help you immerse yourself in our business and build valuable relationships with your colleagues.

AJ Bell is committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and all employees are empowered to bring their whole self to work.

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