UK

United Kingdom · Compliance, quality and safety · Principal/Manager (12-16 years)

Compliance Manager / Principal Strategist

As a Compliance Manager / Principal Strategist, you transform complex regulations into actionable safeguards that protect our people and reputation.

Here is the whole job, in plain words. What it is, a real day, what you decide, how you're judged, how people get here and where they go next. Then the part no course gives you: twelve AI tutors who learn your work.

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One email: what AI is changing in this job, and where to start free. With a link back here. Nothing else follows unless you confirm your address.

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  • Experience bandPrincipal/Manager (12-16 years)
  • Direct reports5-15 reports
  • Reports toDirector of Compliance
  • UK framework levelUsually someone running a function, or a director

Also advertised as Head of Compliance (Business Unit) · Senior Compliance Lead · Quality, Health & Safety (QHS) Manager (Compliance Focus)

Built on 43,079 real UK job descriptions we analysed · grounded in qualifications employers recognise

Two short quizzes about you

1From this job to a course

The qualifications matched to this job

CISI Level 6 Diploma in Investment Compliance Chartered Institute for Securities & Investment · Level 6 · covers 1 of 10 standards
GQA Level 5 Diploma in the Practice of Process Safety Management GQA Qualifications Limited · Level 5 · covers 2 of 10 standards

Matched from the standards this job is measured against: a suggestion, not an official ruling.

The units you would start with

Regulation & Compliance CISI Level 6 Diploma in Investment Compliance
Understand how to comply with the relevant Regulations, Industry Standards and Management Requirements for Process Safety GQA Level 5 Diploma in the Practice of Process Safety Management
Procedural Compliance CIWM (WAMITAB) Level 4 High Risk Operator Competence for Managing Non-Hazardous Open Landfill

The future skills this job leans on

AI Fluency working with AI as a thinking partner
Data Fluency turning numbers into a decision
AI Governance Fluency using AI responsibly
Systems Fluency seeing the whole picture
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Your Plan Illustration

Built for Compliance Manager / Principal Strategist

3 units that map to this job, from the qualifications that cover it.

  1. Regulation & Compliance Chartered Institute for Securities & Investment · covers 1 of 10 standards Level 6
  2. Understand how to comply with the relevant Regulations, Industry Standards and Management Requirements for Process Safety GQA Qualifications Limited · covers 2 of 10 standards Level 5
  3. Procedural Compliance CIWM · covers 1 of 10 standards Level 4
These are the real units behind this job, in the order they rank for it. Nothing here is marked done, because this plan has not been started by anyone yet. Yours would fill in as you go.

2AI and this work

Will AI change your work as a Compliance Manager / Principal Strategist?

Nobody can say exactly how. Here is what this job is being asked for next, and where to start.

How the AI economy is changing work like this

A broad read on this kind of work, not an analysis of this job on its own. Roles that share a pattern get the same answer here.

Fading: AI does more of this

AI is taking over the repetitive data collection and initial analysis tasks, freeing you to focus on strategic oversight.

→
Rising: worth more because of AI

Your ability to interpret AI-generated insights and apply them to complex regulatory frameworks becomes more valuable.

The new skills this role is being asked for

  • Ethical AI Governance & Oversight
  • Advanced Data Storytelling for Compliance
Why each one is rising

The future skills this job leans on

We'll only ever tell you what we can actually back up. No hype, no scare tactics.

What happens when you start

Next, a free account. We build your Compliance Manager / Principal Strategist plan as you set up, starting with a Future Fluency module on using AI in your job. No card.

Your first Future Fluency module is free. After that, your AI tutor is £70 a month.

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3What this role really is

We see you

You sometimes wonder if AI will fully grasp the nuances of compliance, but you recognise its potential to streamline the data-heavy aspects of your role. Deep down, you know your strategic insight and ethical judgement are irreplaceable.

A compliance manager owns the compliance framework for a business unit or a large programme, turning regulations into clear plans and making sure they hold.

4A day in the life

Not a job advert. A real day, built from what this role actually holds.

08:45
You kick off the day with a team huddle, setting the tone for a proactive approach to compliance challenges.
11:00
Engage in a high-level risk assessment, identifying emerging regulatory risks with your team and brainstorming mitigation strategies.
14:30
Meet with the IT department to discuss the integration of AI into compliance processes, focusing on ethical use and risk management.
16:00
Prepare a presentation for senior leadership, weaving data into a compelling narrative that highlights compliance achievements and areas for improvement.

5What you'd actually use

The tools this job runs on, and how well you'd need to know each one.

ServiceNow GRC / Intelex / Cority / MetricStream Strategic

Leading platform selection and implementation projects, defining data governance for compliance modules, architecting integrations with other enterprise systems, and using the platform for strategic reporting to executive leadership.

Thomson Reuters Regulatory Intelligence (TRRI) / Wolters Kluwer / Enhesa Strategic

Setting enterprise-wide strategy for regulatory monitoring, briefing executive leadership on major legislative shifts, and directing the team on applicability analysis for new regulations.

Veeva QualityDocs / MasterControl / SharePoint (with controlled workflows) Architect

Designing the enterprise document hierarchy and control strategy, approving system-level changes, and ensuring the document control system meets audit requirements at a strategic level.

Cornerstone OnDemand / SAP Litmos / Absorb LMS Strategic

Aligning compliance training strategy with business risk, selecting LMS vendors, and reporting on enterprise competency and training effectiveness to senior management.

Power BI / Tableau / Excel (Power Query, Pivot Tables) Strategic

Defining the key metrics for the function, presenting data-driven insights to executive leadership, championing investment in advanced analytics capabilities, and overseeing the development of compliance dashboards.

Diligent / Nasdaq Boardvantage Expert

Building and presenting the compliance and risk section of the board report, answering questions from board members directly, and ensuring all board-level compliance documentation is accurate and timely.

6What you get to decide, and how that grows

Power in a job isn't your title. It's what you're allowed to decide. Here's how it grows as you move up.

The choiceComing in Where you are nowThe step above
Policy & Procedure Approval Drafts content, submits for review. Drafts, reviews, and recommends changes to existing policies. Owns and approves specific procedures within their programme scope, recommends policy changes to management.
Budget Allocation (Operational) Identifies needs, submits requests to supervisor. Manages small project budgets (e.g., £5K for training materials). Manages project budgets up to £25K, makes recommendations for larger spend.
Regulatory Interpretation & Applicability Flags potential relevance, seeks guidance. Interprets routine regulations, applies to specific tasks. Interprets complex regulations, determines applicability for specific programmes, drafts impact assessments.
Team Hiring & Performance No hiring authority. Receives performance feedback. No hiring authority. Participates in peer feedback. Participates in interviews, provides input on hiring decisions. Mentors junior staff.

7How you'll be judged

The scoreboard, and what is not on it. The hard targets, how often each is actually looked at, and the quiet signals that never reach a dashboard.

Regulatory Fines & Penalties
The total value of fines or penalties incurred by your business unit due to non-compliance.
Target · Zero fines or penalties exceeding £10,000 within your scope.

Your business unit incurred £0 in regulatory fines in Q2, demonstrating effective control.

Audit Findings (Major & Minor)
The number and severity of non-conformances identified during internal and external audits within your area.
Target · Maintain less than 3 minor findings per external audit and zero major findings.

The ISO 45001 external audit resulted in 2 minor findings, both closed within 30 days.

Corrective and Preventive Action (CAPA) Closure Rate
The percentage of CAPAs within your business unit that are closed on time and verified as effective.
Target · Achieve a 95%+ on-time closure rate for CAPAs, with 100% effectiveness verification.

In July, 98% of CAPAs were closed by their due date, and all were confirmed effective after follow-up.

Compliance Training Completion Rate
The percentage of employees in your business unit who complete mandatory compliance training modules by their deadlines.
Target · Maintain a 98%+ completion rate for all mandatory compliance training.

Across your business unit, 99.1% of staff completed their annual QHS refresher training by the deadline.

Budget Adherence
How well you manage and stay within the allocated budget for your compliance programmes and team.
Target · Operate within ±5% of the approved annual budget for your function.

Your team's Q3 spend was £120,000 against a £125,000 budget, showing good fiscal control.

Regulatory Foresight & Preparedness
Your ability to anticipate upcoming regulatory changes and proactively prepare the business unit for compliance.
  • You're regularly presenting to leadership on future regulatory risks
  • new policies or procedures are in place before new regulations come into force
  • external auditors comment on our proactive approach.
Team Development & Engagement
How effectively you coach, mentor, and develop your direct reports, fostering a high-performing and engaged team.
  • Your team members are taking on more complex tasks
  • they're getting promoted
  • 360-degree feedback shows you're a supportive and challenging manager
  • team retention is high.
Influence & Collaboration
Your ability to build strong relationships with business unit leaders and influence their decisions to prioritise compliance without being seen as a blocker.
  • You're consistently invited to business unit strategy meetings
  • operational changes are brought to you early for compliance review
  • other department heads actively seek your advice on QHS matters.
Risk Culture Improvement
Your contribution to embedding a stronger, more proactive risk and compliance culture within your business unit.
  • Safety and compliance are regular agenda items in operational meetings
  • employees are more comfortable reporting near-misses or concerns
  • internal surveys show improved perception of QHS importance.

8Would you like it

Both sides. What people enjoy, and what grinds them down.

What people enjoy
Making a Tangible Impact on Safety & Integrity

You'll get a real buzz from seeing a new safety procedure you championed prevent an incident, or from knowing your team's work has protected the company from a significant regulatory risk. It’s about more than just numbers; it’s about real-world outcomes.

Successfully implementing a new permit-to-work system that demonstrably reduces workplace accidents in your business unit.

Leading and Developing a High-Performing Team

You'll enjoy coaching your specialists, helping them grow their skills, and watching them tackle more complex challenges. Seeing your team succeed and develop under your guidance will be a major source of satisfaction.

One of your Senior Specialists is promoted to a Lead role, directly attributing their growth to your mentorship.

Solving Complex Organisational Puzzles

You'll thrive on figuring out how to embed compliance into messy operational realities, navigating conflicting priorities, and designing systems that actually work. It’s a constant intellectual challenge.

Developing a new compliance framework for a novel product line that integrates seamlessly with existing operations.

What frustrates people
  • Dealing with resistance to change from established operational teams.
  • Chasing overdue actions and documentation from other departments.
  • Being seen as a 'blocker' rather than an enabler of safe operations.
  • The slow pace of organisational change, even for critical compliance issues.
  • Budget constraints limiting investment in necessary QHS improvements.
What this role does not give you
  • A quiet, solitary role focused purely on technical analysis.
  • Instant gratification or quick wins every day.
  • A role where all your recommendations are immediately adopted without question.
  • Freedom from bureaucratic processes and stakeholder management.

9Who you work with

You'll directly shape the compliance posture and risk profile of a significant part of our business. Your decisions and the effectiveness of your team will determine our ability to operate without interruption, avoid regulatory enforcement, and maintain crucial industry certifications. Frankly, you're a key guardian of our licence to operate and our brand's integrity.

Inside the business
  • Business Unit Leadership (e.g., Head of Operations, Site Directors)
  • Legal Counsel
  • Product Development Teams
  • HR and Learning & Development
  • Internal Audit
Outside the business
  • External Regulators (e.g., HSE, Environment Agency)
  • Certification Bodies (e.g., ISO auditors)
  • Industry Associations
  • External Legal Advisors

10What you need before you start

Not a wish list. The things you would be expected to already have.

  • Proven track record of managing and leading compliance programmes or functions within a complex, regulated industry for at least 5-8 years.
  • Demonstrable experience in designing, implementing, and maintaining management systems (e.g., ISO 9001, 14001, 45001).
  • Experience managing a team of compliance professionals, including hiring, performance management, and career development.
  • Strong experience in engaging with and presenting to senior leadership and external regulatory bodies.
  • A deep understanding of root cause analysis and CAPA management at a systemic level.
  • Budget management experience, including forecasting and controlling spend for compliance initiatives.

11What to practise next

Where the job is going, and what to do about it starting this week.

GRC Platform Optimisation & Integration

Simply having a GRC platform isn't enough; you'll need to ensure it's fully optimised, integrated with other enterprise systems (like ERP or HRIS), and delivering maximum value. This means understanding its full capabilities and how to leverage them strategically.

API Integrations · Workflow Automation · Data Governance within GRC · Advanced Reporting & Analytics

  • This quarter: Deep dive into the advanced features of our current GRC platform. What are we not using?
  • Next 6 months: Identify one key manual process that could be fully automated or significantly streamlined using the GRC platform's capabilities.
  • Next 12 months: Lead a small project to integrate the GRC platform with another core business system, demonstrating clear efficiency gains.
  • Ongoing: Participate in user groups or forums for our GRC platform to learn best practices from other organisations.

Quick win: Set up a new, automated alert within the GRC platform for a specific compliance metric that requires immediate attention, cutting down on manual monitoring.

Predictive Compliance Analytics

Moving from reactive to proactive is key. You'll need to use advanced analytical techniques to predict potential compliance failures or incidents before they happen, allowing for targeted intervention and resource allocation.

Statistical Process Control (SPC) · Machine Learning Fundamentals · Anomaly Detection · Data Visualisation for Prediction

  • This month: Identify a compliance metric where we have historical data and a clear 'failure' point (e.g., overdue CAPAs, incident rates).
  • Next 6 months: Work with a data analyst (or learn basic Python/R) to build a simple predictive model for that metric.
  • Next 12 months: Present a 'predictive compliance' dashboard to your Director, showing potential future risks based on current trends.
  • Ongoing: Explore case studies of predictive analytics in compliance from other industries or organisations.

Quick win: Start tracking a 'leading indicator' for a known risk in your business unit. Even a simple trend line can provide early warnings.

12Staying current once you are in

What people here do to keep up
  • Regularly attend industry conferences and seminars on regulatory updates and compliance best practices.
  • Participate in professional compliance associations and networks to share insights and stay current.
  • Undertake leadership and management training programmes to enhance your team development and strategic influence skills.
  • Engage in continuous learning on emerging technologies, particularly AI and advanced analytics, and their application in compliance.

13The rising capability

The rising capability

Zavmo analysis

What's rising in its place

This is where the work is heading, and the higher pay with it. Get fluent here and the shift stops being a threat and starts being your edge.

Ethical AI Governance & Oversight

As AI becomes embedded in more business processes (from HR to supply chain), ensuring these systems are fair, transparent, and compliant with emerging AI regulations (like the EU AI Act) will be a massive challenge. You'll need to oversee the ethical implications of AI use.

  • AI Act (EU)
  • Explainable AI (XAI)
  • Bias Detection & Mitigation
  • Data Lineage & Provenance

Advanced Data Storytelling for Compliance

You already use data, but simply presenting charts isn't enough. You'll need to weave compelling narratives from complex compliance data to influence executive decisions and drive behavioural change. It’s about making the 'why' of compliance resonate.

  • Visualisation Best Practices
  • Narrative Structure
  • Audience Adaptation
  • Call to Action

14What you’ll use

What you’ll use

Skills this role draws on

Technical

  • Regulatory Interpretation & Applicability Analysis (Strategic)
  • Root Cause Analysis (Systemic)
  • Audit & Assurance Frameworks (Lead Auditor)
  • CAPA Management (Programme Oversight)
  • Risk Assessment Methodologies (Enterprise-Level)
  • Policy & Procedure Lifecycle Management (Governance)

15The pathway

The pathway

How you actually get there, here

How you become one varies far more by country than what one does. This is the UK route. Most people take one of these ways in; the right one depends on where you're starting from.

  1. 1

    From Lead Compliance Specialist / Programme Manager (L4)

    3-5 years as an L4

    Skills to master

    • Moving from managing programmes to managing people and budgets. Developing strategic foresight, executive presence, and the ability to influence at a senior level. Learning to delegate effectively and trust your team.

    You're ready to move on when

    • Successfully led multiple complex, cross-functional compliance programmes.
    • Consistently delivered strong audit results and effective CAPA management.
    • Demonstrated informal leadership and mentorship of junior colleagues.
    • Proactively identified and mitigated significant compliance risks.
    • Presented effectively to senior stakeholders and handled challenging questions.
  2. 2

    From Senior Compliance Consultant (External)

    Transition typically takes 1-2 years to adapt to internal culture.

    Skills to master

    • Adapting from an advisory role to an operational leadership role with direct accountability. Building internal relationships and navigating organisational politics. Understanding the nuances of our specific industry and company culture.

    You're ready to move on when

    • Extensive experience advising multiple clients on compliance strategy and implementation.
    • Strong project management skills from consulting engagements.
    • Ability to quickly grasp new industry regulations and business models.
    • Demonstrated ability to build rapport and influence client leadership.
  3. 3

    From a related specialist leadership role (e.g., Head of QMS, Head of EHS)

    2-4 years in a similar leadership role.

    Skills to master

    • Broadening your expertise beyond a single domain (e.g., from pure Safety to also include Quality and broader Compliance). Understanding the interconnectedness of all QHS elements. Developing a more holistic, enterprise-level risk perspective.

    You're ready to move on when

    • Proven leadership of a functional team (e.g., Quality, EHS).
    • Strong track record of managing management systems and audit processes.
    • Experience in regulatory engagement within your specialist area.
    • Demonstrated ability to drive cultural change and continuous improvement.

16How people get here · where they go next

Came from
From Lead Compliance Specialist / Programme Manager (L4)
3-5 years
You mastered the art of leading complex, cross-functional compliance programmes and delivering strong audit results.
You are here
Compliance Manager / Principal Strategist
Principal/Manager (12-16 years)
A compliance manager owns the compliance framework for a business unit or a large programme, turning regulations into clear plans and making sure they hold.
Goes to
Director of Compliance (L6)
3-5 years
This role involves shaping multi-year compliance strategies at a regional or divisional level, influencing executive business decisions.

The long view: This work can lead to a Chief Compliance Officer role, a Head of Risk and Governance role, or a specialised regulatory expert position.

The ten Future Fluencies

Zavmo analysis

The credential is what you can do today. These are what keep you valuable.

A qualification proves you can do the job as it's defined today. These ten are what decide whether you're still the obvious person for it in five years. They're the capabilities employers are now writing into senior roles faster than people are learning them. Zavmo weaves them through whatever you study, so you come out with both: the credential and the fluency.

The highlighted ones are the Fluencies your role leans on hardest, from how Compliance Manager / Principal Strategist is actually changing.

Where it leads

Roles this leads to

How you would learn this

One to one, on the work you already do

A tutor sets the task against your own job and marks the reasoning, at your pace. There is no cohort to fall behind.

A lesson from Regulation & Compliance, worked against Compliance Manager / Principal Strategist.

Regulation & Compliance Level 6

Applied to your work in Compliance Manager / Principal Strategist

The objective of this unit is to enable learners to understand the legal, regulatory, and ethical framework governing the UK financial services industry. Learners will explore the key sources of law and regulation, the roles of regulatory bodies, and the ethical considerations relevant to financial services professionals. This understanding will allow learners to analyse the impact of these requirements on financial services organisations.

The Navigator Last time, we explored the potential impacts of the EU AI Act on your compliance strategy.

You Yes, it's a lot to consider, but I'm ready to dive deeper.

The Navigator Great! Let's focus on developing a preliminary risk assessment for AI use in your business unit, using your current regulatory frameworks as a guide.

How the thinking builds
  1. 1 Remember
  2. 2 Understand
  3. 3 Apply
  4. 4 Analyse
  5. 5 Evaluate
  6. 6 Create
An illustration of a Zavmo lesson, built from this role’s own route. The unit, its objective and every criterion above are the awarding body’s own words, not an example.

It is £70 a month, billed monthly. Your free first module is Future Fluency, and you can cancel any time.

Start my plan, free
A year from now

A year from now, you confidently lead your team through the evolving landscape of AI in compliance, known for your strategic foresight and ethical leadership.

See Your Progress Grow Illustration
Compliance Manager / Principal Strategist
  • Regulatory Interpretation & Applicability Analysis (Strategic)
  • Root Cause Analysis (Systemic)
  • Audit & Assurance Frameworks (Lead Auditor)
  • CAPA Management (Programme Oversight)
  • Risk Assessment Methodologies (Enterprise-Level)
  • Policy & Procedure Lifecycle Management (Governance)
This is your Mind Palace on learn.zavmo.ai. Every skill above comes from this role's own record, not an example borrowed from another job. A node lights up when you evidence it, and what you build stays yours between jobs. That is the part a course cannot do.

17The detail, folded away

Everything else the record holds

The career branches in full, how AI is already showing up in the day-to-day, and the questions people ask about this job. Here when you want them, out of the way while you decide.

Where it leads next, rung by rung

Where it leads

The career path, and where it branches

Compliance Manager / Principal Strategist is a start, not a ceiling. Each step below asks for new skills and hands back more autonomy.

  1. Director of Compliance (L6)

    3-5 years in the Compliance Manager role.

    Move from managing a business unit's compliance to shaping multi-year compliance strategy for a region or division, influencing business decisions at an executive level, and reporting to the C-suite.

    • M&A due diligence and integration for compliance.
    • Advanced regulatory lobbying and external advocacy.
    • Developing global compliance frameworks.
    • Crisis management and reputational risk oversight.
Working with AI on the job

Working with AI

Where AI is starting to help

As a Compliance Manager, your time is precious. You're juggling strategic oversight, team leadership, and complex regulatory challenges. Imagine if you could cut through the noise, automate tedious tasks, and gain deeper insights, freeing you up to focus on what truly matters: protecting our business and developing your team. That's where AI comes in.

We're not talking about replacing your judgment; we're talking about giving you a powerful co-pilot. AI tools can handle the heavy lifting of regulatory monitoring, data analysis, and documentation, allowing you to be more strategic, proactive, and effective. Think of it as having an army of highly efficient, tireless assistants at your fingertips.

Regulatory Change Automation

AI scans hundreds of global regulatory sources daily, flagging specific changes relevant to our operational footprint and product lines. As a manager, you'll use this to proactively brief leadership, adjust strategic plans, and direct your team's focus before new rules hit. This isn't just about getting alerts; it's about strategic foresight.

Advanced Incident Trend Analysis

AI analyses thousands of unstructured text fields from incident and near-miss reports across your business unit to identify systemic risks, hidden correlations, and emerging negative trends that manual analysis would miss. You'll use these insights to target preventative actions, allocate resources effectively, and present data-driven cases for investment to senior leaders.

Regulation & Standard Summariser

Feed a dense 200-page regulatory document or ISO standard into an AI tool and ask it to extract all prescriptive obligations ('the company must...') and create a preliminary compliance checklist. For you, this means quickly understanding the strategic implications of new standards, identifying key areas for team focus, and fast-tracking policy development.

Policy & Training First Drafts

AI assists in generating the first draft of a new policy, procedure, or training module based on a specific regulatory requirement. As a manager, this allows you to rapidly prototype new controls, standardise documentation across your team, and ensure consistency, freeing your specialists to focus on refinement and implementation rather than starting from scratch.

Common questions

Common questions

How do you become a Compliance Manager / Principal Strategist?

Common routes in include From Lead Compliance Specialist / Programme Manager (3-5 years as an L4), From Senior Compliance Consultant (External) (Transition typically takes 1-2 years to adapt to internal culture.) and From a related specialist leadership role (e.g., Head of QMS, Head of EHS) (2-4 years in a similar leadership role.). Times vary with prior experience.

Where can a Compliance Manager / Principal Strategist progress to?

This role can lead on to Director of Compliance (3-5 years in the Compliance Manager role.), depending on the skills you build.

What new skills matter most for a Compliance Manager / Principal Strategist?

Increasingly, Ethical AI Governance & Oversight and Advanced Data Storytelling for Compliance. These are the skills our record of this role lists as growing.

Free tools

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Three free tools, no account needed. Each one ends with a role, a level and a way in.

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18Where to go from here

Other roles at Level 6

Same depth of qualification, different job. Useful if the work appeals but this particular role does not.

 More jobs in compliance, quality and safety

Stay in the field you know and move sideways rather than up.
If you leave this industry

The skills built in this role apply across other regulated industries, such as pharmaceuticals, energy, financial services and aerospace. Experience building and managing compliance programmes carries across sectors.

This role profile is © 2026 Growth Engineering Technologies Ltd. Built from UK occupational standards and regulated qualification data, and written for Zavmo.

You're not behind. You're right on time. The shift is only just beginning. Your role won't look the same in two years. Be the one who leads the change, not the one it happens to. Start my plan, free What happens next: a free account, then we build your plan as you set up. No card. Build your plan, see your roadmap and meet the twelve tutors matched to you. All free. When you're ready to start learning, it's £70 a month, billed monthly. Cancel any time and billing stops.