United Kingdom · Legal · Senior (5-8 years)

Senior Head of Compliance

Here is the whole job, in plain words. What it is, 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.

Free to start: a plan built for this role, and a Future Fluency module to try first. No card.

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  • Experience bandSenior (5-8 years)
  • Direct reportsNo direct reports
  • Reports toCompliance Manager
  • UK framework levelUsually a professional owning their own work, or leading a small team

Also advertised as Senior Compliance Officer · Compliance Lead (Legal) · Regulatory Compliance Specialist · Legal Compliance Manager (Project Focus)

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

1From this job to a course

The qualifications matched to this job

GQA Level 5 Diploma in the Practice of Process Safety Management GQA Qualifications Limited · Level 5 · covers 1 of 10 standards
CICM Level 5 Diploma in Credit and Collections Management Chartered Institute of Credit Management · Level 5 · covers 1 of 10 standards
FDQ Level 3 Certificate for Proficiency in Food Manufacturing Excellence FDQ Limited · Level 3 · covers 2 of 10 standards
FDQ Level 3 Diploma for Proficiency in Food Manufacturing Excellence FDQ Limited · Level 3 · covers 1 of 10 standards
GQA PAA\VQ-SET Level 3 Diploma for a Bulk Storage Operator (Technician) GQA Qualifications Limited · Level 3 · covers 1 of 10 standards
FDQ Level 3 Certificate for Proficiency in Food Industry Skills FDQ Limited · Level 3 · covers 1 of 10 standards

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

The units you would start with

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
Compliance with legal, regulatory, ethical and social requirements CICM Level 5 Diploma in Credit and Collections Management
Manage compliance to support achieving excellence in food operations FDQ Level 3 Certificate for Proficiency in Food Manufacturing Excellence
Comply with External and Internal Obligations within a Bulk Storage Operations Environment GQA PAA\VQ-SET Level 3 Diploma for a Bulk Storage Operator (Technician)
Carry out quality audits in food operations FDQ Level 3 Certificate for Proficiency in Food Industry Skills

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
Your Plan Illustration

Built for Senior Head of Compliance

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

  1. Understand how to comply with the relevant Regulations, Industry Standards and Management Requirements for Process Safety GQA Qualifications Limited · covers 1 of 10 standards Level 5
  2. Compliance with legal, regulatory, ethical and social requirements Chartered Institute of Credit Management · covers 1 of 10 standards Level 5
  3. Manage compliance to support achieving excellence in food operations FDQ Limited · covers 2 of 10 standards Level 3
  4. Comply with External and Internal Obligations within a Bulk Storage Operations Environment GQA Qualifications Limited · covers 1 of 10 standards Level 3
  5. Carry out quality audits in food operations FDQ Limited · covers 1 of 10 standards Level 3
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 Senior Head of Compliance?

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

The new skills this role is being asked for

  • Ethical AI Governance & Oversight
  • Complex Data Storytelling for Risk
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 Senior Head of Compliance 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.

3What this role really is

A Senior Head of Compliance interprets new regulations and helps put the right controls in place across a business. The role covers regulatory risk, from reading new rules to guiding teams through complex compliance questions. Judgment matters as much as knowledge.

4What you'd actually use

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

OneTrust (or similar GRC platform) Advanced

Configuring workflows for control testing, designing custom dashboards for risk reporting, and training business users on how to document their compliance activities within the platform.

Westlaw Edge / Lexis+ / Bloomberg Law Expert

Building complex Boolean queries for regulatory research, setting up alerts for specific legal changes, and synthesising research from multiple sources into actionable memos for the business.

Relativity / Logikcull (or similar eDiscovery) Advanced

Managing document review workflows for internal investigations, setting up production sets for regulatory inquiries, and running search term reports (STRs) to identify relevant evidence.

NAVEX (PolicyTech) / Convercent / Microsoft SharePoint Advanced

Managing the end-to-end policy lifecycle within the system, drafting policies using the system's workflow, and reporting on version control and exceptions to management.

Tableau / Power BI Basic

Providing data inputs and drafting commentary for compliance dashboards and board reports prepared by senior leadership, with some ability to build simple visualisations.

Thomson Reuters HighQ / Casepoint (or similar Matter Management) Advanced

Managing the full lifecycle of an internal investigation or regulatory inquiry within the system, tracking deadlines, evidence, and communication logs.

5What 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
Regulatory Interpretation Identifies relevant regulations and seeks guidance on interpretation from senior colleagues. Independently interprets routine regulations and applies them to standard business processes; escalates novel interpretations. Interprets complex or ambiguous regulations, develops firm-wide guidance, and makes recommendations on application to specific business lines. Consults Legal Counsel on high-risk interpretations.
Internal Investigation Scope Assists with evidence gathering and documentation as directed by the lead investigator. Manages discrete parts of an investigation (e.g., specific interviews, document review) under supervision. Designs the investigation plan, leads witness interviews, determines evidence scope, and drafts findings for review by Compliance Manager/General Counsel.
Policy Approval Drafts sections of policies based on templates; requires full review and approval by senior staff. Drafts complete policies for routine areas; requires review and approval by Compliance Manager. Owns the end-to-end drafting and review process for significant policies (e.g., Insider Trading, Data Privacy); recommends approval to Compliance Manager and relevant business heads.
Control Design & Implementation Executes existing controls and documents evidence. Proposes minor enhancements to existing controls; implements changes after approval. Designs and implements new controls for moderate to high-risk areas, ensuring they are effective and embedded. Seeks sign-off from relevant business owners and Compliance Manager.

6How 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.

Control Effectiveness Score
Average score of controls you've designed or overseen, as rated by Internal Audit or during control testing.
Target · Achieve an average score of 4.0 out of 5.0 (where 5.0 is 'highly effective').

Your anti-bribery controls score 4.2 in the Q2 audit, showing strong design and operational effectiveness.

Compliance Issue Remediation Rate
Percentage of identified compliance issues (from audits, tests, or incidents) that are fully remediated within agreed timelines.
Target · Maintain a 95% on-time remediation rate for issues under your purview.

Out of 20 issues assigned to your workstream in Q1, 19 were closed by their due date, hitting 95%.

Policy Review & Update Completion
Percentage of assigned policies (e.g., data privacy, insider trading) that are reviewed, updated, and approved by the target date.
Target · 100% completion of all assigned annual policy reviews and updates.

All 5 key policies you were responsible for were updated, approved, and published before the year-end deadline.

Training Completion Rate (Specific Programmes)
Completion rate for mandatory compliance training programmes you've designed or significantly contributed to.
Target · Achieve a minimum 90% completion rate for relevant staff within 30 days of launch.

Your new 'Market Abuse Regulations' training module saw 92% of relevant staff complete it within the first month.

Proactive Risk Identification
How often you spot potential compliance issues or regulatory changes before they become problems, bringing them to management's attention with proposed solutions.
  • You're regularly bringing forward new risks in team meetings. Management seeks your input on emerging business initiatives to pre-empt compliance issues. You've flagged a new regulatory consultation paper that could impact our business next year.
Business Partnership & Influence
How effectively you build relationships and influence business units to adopt compliance controls, rather than just enforcing them.
  • Business heads consult you early on new projects. You're invited to strategy meetings, not just compliance reviews. Feedback from business units mentions your collaborative approach and practical advice. They see you as a problem-solver, not a roadblock.
Quality of Investigations & Advice
The thoroughness, accuracy, and clarity of your internal investigation reports and compliance advice.
  • Investigation reports are clear, evidence-based, and actionable, requiring minimal revisions from your manager. Your advice is consistently sought after, and your recommendations are adopted by business leaders because they're well-reasoned and practical. You can explain complex legal points simply.
Mentorship & Team Development
Your contribution to the growth and capability of junior team members, through informal guidance, code reviews, or knowledge sharing.
  • Junior colleagues approach you for advice. You're actively involved in onboarding new team members. Your manager notes specific instances where your guidance helped a junior colleague overcome a challenge or improve their work product.

7Would you like it

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

What people enjoy
Protecting the Firm's Integrity

You get a real sense of satisfaction from knowing your work helps safeguard our reputation, prevents legal issues, and ensures we operate ethically. It's about being a guardian.

Successfully closing an internal investigation, knowing you've addressed a potential conduct risk and protected our clients.

Solving Complex Puzzles

You love diving into a dense new regulation or an ambiguous internal issue, breaking it down, and figuring out the practical implications and solutions. It's like being a detective for compliance.

Interpreting a new piece of FCA guidance and designing a clear, actionable process for the business to follow.

Being a Trusted Advisor

You thrive on being the person business units come to for clear, sensible advice on tricky compliance matters, helping them navigate risks without stifling innovation.

A business head asks for your input on a new product launch, specifically to pre-empt any regulatory hurdles.

What frustrates people
  • Constantly battling the perception that compliance is a blocker, not a partner.
  • Dealing with business units that only do the bare minimum for controls, requiring constant follow-up.
  • Regulatory whiplash: new guidance invalidating a process you just spent ages building.
  • The immense pressure during a surprise regulatory audit, where every decision is scrutinised.
  • Discovering a significant compliance failure and having to deliver that difficult news to senior leadership.
What this role does not give you
  • A quiet, predictable 9-to-5 where every day is the same.
  • A role where you're always the most popular person in the room.
  • Guaranteed immediate implementation of all your recommendations.
  • A role focused purely on legal theory without practical, commercial application.

8Who you work with

You'll directly influence how specific business units manage their regulatory risks, ensuring our operations stay within legal boundaries. Your work prevents fines, safeguards client trust, and maintains our firm's reputation in a really competitive market. Get it right, and you're a trusted advisor; get it wrong, and the firm faces serious consequences.

Inside the business
  • Business Unit Heads (e.g., Corporate Finance, Litigation)
  • Internal Audit Team
  • Risk Management Department
  • HR and People Team
  • IT Security
Outside the business
  • External Regulators (e.g., FCA, SRA, ICO)
  • External Auditors
  • Legal Counsel (external)
  • Third-Party Vendors (e.g., GRC platform providers)
  • Industry Associations

9What you need before you start

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

  • A solid 5+ years of hands-on experience in a dedicated compliance role, preferably within the legal or financial services sector, where you've actually led projects or workstreams.
  • Demonstrable experience in conducting internal investigations, from planning to reporting, including interviewing skills.
  • Proven ability to interpret complex regulations and translate them into practical, business-friendly guidance and controls.
  • Experience with at least one GRC platform (e.g., OneTrust, Archer) and a legal research tool (e.g., Westlaw, Lexis+).
  • A track record of successfully influencing business stakeholders to adopt compliance measures.
  • Experience in drafting and implementing compliance policies and procedures.
  • A strong understanding of the 'three lines of defence' model and how it applies in practice.

10What to practise next

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

Advanced GRC Platform Configuration & Integration

Our GRC platforms are becoming the central nervous system for compliance. Simply using them isn't enough; you'll need to understand how to optimise them, integrate them with other firm systems (like HRIS or ERP), and truly tailor them to our evolving needs. This means less out-of-the-box and more customisation.

API integrations for data exchange (e.g., with HR · Advanced workflow automation and rule-based logic · Custom report building and dashboard design for sp · User access management and role-based permissions · Data migration strategies for GRC platform upgrade

  • This month: Deep dive into the advanced admin settings of our current GRC platform.
  • Next quarter: Work with the IT team to understand how our GRC platform currently integrates with other systems.
  • Month 3-6: Take a vendor-specific certification course for advanced GRC administration.
  • Month 6-9: Propose and implement one new custom workflow or integration within the GRC platform.
  • Month 9-12: Lead a small project to optimise a specific GRC module for efficiency.

Quick win: Identify one manual process in your workstream that could be automated or streamlined within the GRC platform. Then, figure out how to build it.

Legal Tech & RegTech Solution Evaluation

The market for legal and regulatory technology is exploding. You won't just be using existing tools; you'll be evaluating new ones, understanding their capabilities, and making recommendations on which solutions can genuinely enhance our compliance programme. It's about being a smart buyer and implementer.

Vendor due diligence and risk assessment for new t · ROI analysis for compliance technology investments · Understanding different RegTech categories (e.g., · Implementation challenges and change management fo · Data security and privacy considerations for cloud

  • This month: Subscribe to a few key Legal Tech/RegTech newsletters or industry blogs.
  • Next quarter: Research 2-3 new RegTech solutions relevant to your workstream.
  • Month 3-6: Participate in a vendor demo for a new compliance tool, asking critical questions.
  • Month 6-9: Prepare a brief business case for adopting a specific new piece of RegTech.
  • Month 9-12: Lead a pilot programme for a small-scale RegTech solution within your area.

Quick win: Identify a pain point in your current compliance processes. Then, spend an hour searching for 'RegTech solutions for [pain point]' and see what's out there.

11Staying current once you are in

What people here do to keep up
  • Regularly attending industry webinars and conferences on emerging regulatory trends and compliance technology.
  • Subscribing to legal and compliance journals to stay updated on case law and enforcement actions.
  • Actively participating in professional networks (e.g., LinkedIn groups, local compliance forums) to share knowledge and learn from peers.
  • Undertaking continuous professional development (CPD) to maintain any existing certifications and expand your knowledge base.
  • Seeking opportunities to mentor junior colleagues, which solidifies your own understanding and develops leadership skills.

12The 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

Essential for future readiness in this role.

  • AI ethics principles (fairness, transparency, acco
  • Bias detection and mitigation in AI models
  • Data provenance and privacy in AI systems
  • Explainable AI (XAI) concepts
  • Emerging AI regulations (e.g., EU AI Act, UK's pro

Complex Data Storytelling for Risk

Essential for future readiness in this role.

  • Narrative structures for data presentation
  • Principles of effective data visualisation (e.g.,
  • Identifying the 'so what?' from compliance data
  • Tailoring data stories to different audiences (Boa
  • Using analogies and metaphors to explain complex r

13What you’ll use

What you’ll use

Skills this role draws on

Technical

  • Regulatory Interpretation & Analysis
  • Risk Assessment Methodologies (COSO/ISO 31000)
  • Internal Investigation Protocols
  • Compliance Monitoring & Control Testing
  • Third-Party Risk Management (TPRM)
  • Policy Lifecycle Management

14The 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

    Compliance Officer (L2) to Senior Head of Compliance (L3)

    2-3 years as a Compliance Officer

    Skills to master

    • Independently managing specific compliance processes, taking ownership of routine issues, starting to identify and propose solutions for more complex problems, and demonstrating early signs of mentorship.

    You're ready to move on when

    • Consistently delivering high-quality work products with minimal supervision.
    • Proactively identifying process improvements or control enhancements.
    • Successfully handling non-routine compliance queries with sound judgment.
    • Being sought out by junior colleagues for advice or guidance.
  2. 2

    Legal Counsel (Junior/Mid) to Senior Head of Compliance (L3)

    3-5 years in private practice or in-house legal role

    Skills to master

    • Translating legal theory into practical business application, understanding risk management frameworks, developing strong client (internal stakeholder) management skills, and adapting to a more proactive, preventative role.

    You're ready to move on when

    • Demonstrating a strong interest in regulatory compliance and risk management.
    • Proactively seeking opportunities to advise on preventative measures, not just reactive legal issues.
    • Ability to work collaboratively with non-legal business functions.
    • Strong grasp of commercial realities and their interplay with legal obligations.
  3. 3

    Internal Audit Specialist to Senior Head of Compliance (L3)

    3-5 years in an internal audit function, ideally with a focus on compliance audits

    Skills to master

    • Moving from identifying issues to designing and implementing solutions, developing a deeper understanding of specific regulatory requirements, and building relationships with business owners to drive change.

    You're ready to move on when

    • A strong track record of identifying control weaknesses and recommending practical improvements.
    • An understanding of the 'why' behind compliance controls, not just the 'what'.
    • Ability to influence and persuade business leaders to adopt new processes.
    • Desire to be on the 'front line' of compliance rather than solely in an assurance role.

15Where this role leads

The long view: This role builds the expertise and leadership needed to move into director-level compliance roles, or towards a Chief Compliance Officer 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 Senior Head of Compliance is actually changing.

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 Understand how to comply with the relevant Regulations, Industry Standards and Management Requirements for Process Safety, worked against Senior Head of Compliance.

Understand how to comply with the relevant Regulations, Industry Standards and Management Requirements for Process Safety Level 5

Applied to your work in Senior Head of Compliance

The objective of this unit is to provide learners with a comprehensive understanding of the regulations, industry standards, and management requirements for process safety. Learners will understand the role of the Process Safety Leadership Group, relevant frameworks, legal duties, and the role of the Competent Authority.

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.

See Your Progress Grow Illustration
Senior Head of Compliance
  • Regulatory Interpretation & Analysis
  • Risk Assessment Methodologies (COSO/ISO 31000)
  • Internal Investigation Protocols
  • Compliance Monitoring & Control Testing
  • Third-Party Risk Management (TPRM)
  • Policy Lifecycle Management
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.

16The 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

Senior Head of Compliance is a start, not a ceiling. Each step below asks for new skills and hands back more autonomy.

  1. Compliance Lead / Manager (L4)

    3-5 years as a Senior Head of Compliance

    This is a significant step up, moving from leading workstreams to managing a small team or a major compliance programme. You'll be defining strategy for your area, not just executing it.

    • Compliance Programme Architecture Designing new enterprise-wide controls and processes.
    • Vendor Management Managing relationships with key compliance technology providers.
    • Advanced Risk Framework Development Enhancing and evolving the firm's overall risk assessment methodologies.
    • Board/Executive Reporting Presenting compliance updates and risk assessments to senior leadership and potentially the Board.
  2. Principal Compliance Counsel / Senior Manager (L5 - Individual Contributor)

    3-5 years as a Senior Head of Compliance

    This pathway focuses on deepening your expertise as an individual contributor, becoming a recognised subject matter expert who advises across the firm on the most complex compliance challenges, without formal people management.

    • Regulatory Horizon Scanning (Advanced) Anticipating future regulatory changes and their long-term impact on the firm.
    • Complex Investigation Lead Leading the most sensitive and high-profile internal investigations.
    • Compliance Innovation Researching and proposing new technologies or methodologies to enhance our compliance programme.
    • External Representation Representing the firm in discussions with regulators or industry bodies on specific compliance matters.
Working with AI on the job

Working with AI

Where AI is starting to help

Let's be real, compliance can be incredibly time-consuming. Imagine reclaiming hours every week from repetitive tasks, allowing you to focus on the truly strategic, high-impact work. That's exactly what AI can do for you here.

At Zavmo, we're not just talking about AI; we're actively integrating it into our daily workflows. For a Senior Head of Compliance, this means using intelligent tools to handle the grunt work, freeing you up to apply your expert judgment where it matters most. It's about working smarter, not just harder.

Automated Regulatory Change Monitoring

Forget sifting through endless government websites and legal journals. AI scans thousands of regulatory sources daily, identifies changes relevant to our specific business, summarises the potential impact, and flags policies that may need your expert review. This means you're always ahead of the curve.

AI-Powered Communications Surveillance

Instead of random sampling, imagine NLP models analysing 100% of firm emails and chats. It flags conversations that indicate potential misconduct, like collusion, insider trading risks (MNPI leakage), or bribery, with far fewer false positives. This gives you a much clearer picture, much faster.

First-Draft Policy & Guidance Generation

When a new regulation drops, generative AI can ingest the core requirements and produce a structured, compliant first-draft of a policy or internal guidance document. You'll then refine, add your expert nuance, and ensure it fits our firm's context, rather than starting from a blank page.

Predictive Risk Hotspotting

AI can analyse internal data (trade errors, complaints, HR data) and external data (market volatility, enforcement trends) to predict which teams or individuals are at a higher risk of future compliance breaches. This shifts your focus from reactive investigation to proactive risk mitigation and targeted training.

Common questions

Common questions

How do you become a Senior Head of Compliance?

Common routes in include Compliance Officer to Senior Head of Compliance (2-3 years as a Compliance Officer), Legal Counsel (Junior/Mid) to Senior Head of Compliance (3-5 years in private practice or in-house legal role) and Internal Audit Specialist to Senior Head of Compliance (3-5 years in an internal audit function, ideally with a focus on compliance audits). Times vary with prior experience.

Where can a Senior Head of Compliance progress to?

This role can lead on to Compliance Lead / Manager (3-5 years as a Senior Head of Compliance) and Principal Compliance Counsel / Senior Manager (3-5 years as a Senior Head of Compliance), depending on the skills you build.

What new skills matter most for a Senior Head of Compliance?

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

Free tools

Want a read on where you stand?

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

17Where to go from here

Other roles at Level 4

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

More jobs in legal

Stay in the field you know and move sideways rather than up.

If you leave this industry

A compliance background built in the legal sector transfers well. Regulatory interpretation, risk management and internal investigations are valued in financial services, fintech, pharmaceuticals, and other regulated industries.

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 Senior Head of Compliance 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.