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- Tasks: Lead compliance monitoring, ensuring regulatory risks are managed and good customer outcomes are delivered.
- Company: AJ Bell is a fast-growing investment platform, trusted by over 593,000 customers with £90.4 billion in assets.
- Benefits: Enjoy competitive salary, 28+ days holiday, private healthcare, gym membership, and hybrid working options.
- Why this job: Join a high-visibility role that shapes compliance culture and drives positive change in a dynamic environment.
- Qualifications: Significant experience in compliance roles, strong knowledge of UK regulations, and excellent communication skills required.
- Other info: Be part of a company recognised as one of the UK's 'Best 100 Companies to Work For' for six years.
The predicted salary is between 43200 - 72000 £ per year.
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.
What we\’re looking for:
- 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.
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 totalling 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
- 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
Hybrid working
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. #J-18808-Ljbffr
Head of Compliance Monitoring employer: Aj Bell
Contact Detail:
Aj Bell Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance Monitoring
✨Tip Number 1
Network with professionals in the compliance field, especially those who have experience in FCA-regulated firms. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends in compliance monitoring.
✨Tip Number 2
Familiarise yourself with AJ Bell's business model and values. Understanding their approach to compliance and customer service will help you tailor your discussions during interviews and demonstrate your alignment with their culture.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully led compliance monitoring initiatives in the past. Highlight your ability to influence senior stakeholders and drive a proactive compliance culture within your team.
✨Tip Number 4
Stay updated on recent regulatory changes and how they impact compliance monitoring. Being able to speak knowledgeably about current issues will show your commitment to the role and your readiness to tackle challenges at AJ Bell.
We think you need these skills to ace Head of Compliance Monitoring
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance monitoring or assurance roles, particularly within FCA-regulated firms. Emphasise your understanding of the UK regulatory framework and any specific qualifications you hold.
Craft a Compelling Cover Letter: In your cover letter, clearly articulate why you are the right fit for the Head of Compliance Monitoring role. Discuss your strategic vision for compliance, your leadership style, and how you plan to foster a proactive risk and compliance culture.
Showcase Your Analytical Skills: Provide examples in your application that demonstrate your strong analytical and report-writing skills. Highlight instances where you've translated complex regulatory findings into actionable business recommendations.
Highlight Stakeholder Engagement: Discuss your experience in engaging with senior stakeholders and how you've successfully influenced decision-making processes. This is crucial for a role that requires collaboration across various teams.
How to prepare for a job interview at Aj Bell
✨Understand the Regulatory Landscape
Make sure you have a solid grasp of the UK regulatory framework, especially the FCA Handbook and Consumer Duty. Be prepared to discuss how these regulations impact compliance monitoring and how you've navigated them in your previous roles.
✨Showcase Your Leadership Skills
As this is a senior role, highlight your experience in leading and developing high-performing teams. Share specific examples of how you've inspired your team and fostered a culture of continuous improvement and accountability.
✨Prepare Insightful Reports
Be ready to discuss your report-writing skills. Bring examples of clear, insightful reports you've produced for senior stakeholders, and explain how you translated technical findings into actionable recommendations.
✨Demonstrate Stakeholder Engagement
Communication is key in this role. Prepare to discuss how you've effectively engaged with senior leaders and first-line teams, ensuring that compliance findings are understood and acted upon. Think of instances where you've successfully challenged or influenced at senior levels.
