Compliance Team Lead - Regulatory Excellence

Benchmark Capital; Horsham; On-site; GBP 70,000 - 95,000; Full time

Job summary

Benchmark Capital in Horsham is seeking a senior Compliance leader to drive regulatory excellence. You will head a team delivering oversight and monitoring, supporting the business to meet FCA obligations, and shaping robust controls across wealth management and regulatory services.

You will guide risk-based compliance programmes, deliver meaningful management information, and collaborate with board members and senior leaders to maintain high standards and positive client outcomes.

Qualifications

• Level 4 Diploma in Financial Planning (or equivalent)
• Experience in a compliance/platform operations or regulatory environment
• People management experience or deputising for a manager
• Strong knowledge of FCA regulations and practical application
• Understanding of risk management, controls and monitoring frameworks
• Excellent analytical and problem-solving skills
• Strong communication and stakeholder management abilities
• Experience producing management information and regulatory reporting
• Good working knowledge of Excel
• Experience with Fusion, Enable and SEI would be advantageous

Responsibilities

• Lead day-to-day delivery of compliance oversight and monitoring activities
• Set team objectives and conduct regular performance reviews
• Deliver a robust programme of compliance monitoring and controls
• Identify regulatory risks and implement effective controls
• Monitor regulatory developments and assess impact on business
• Produce high-quality MI and reporting for senior stakeholders
• Work with senior leaders and board on regulatory matters
• Support FCA notifications and regulatory interactions as required
• Drive process improvements and system enhancements
• Provide compliance guidance and training to operational teams
• Review data and trends to identify risks and opportunities
• Deputise for the Compliance Manager when required

Skills

Leadership

Stakeholder management

Analytical skills

Communication skills

Education

Level 4 Diploma in Financial Planning

Relevant investment qualifications

Tools

Excel

Microsoft Office

Fusion

Enable

SEI

Job description

Benchmark Capital in Horsham is seeking a senior Compliance leader to drive regulatory excellence. You will head a team delivering oversight and monitoring, supporting the business to meet FCA obligations, and shaping robust controls across wealth management and regulatory services.

You will guide risk-based compliance programmes, deliver meaningful management information, and collaborate with board members and senior leaders to maintain high standards and positive client outcomes.