Compliance Team Manager

Benchmark Capital; Horsham; Presencial; GBP 70.000 - 95.000; Jornada completa

Descripción de la vacante

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.

Formación

• 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

Responsabilidades

• 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

Conocimientos

Leadership

Stakeholder management

Analytical skills

Communication skills

Educación

Level 4 Diploma in Financial Planning

Relevant investment qualifications

Herramientas

Excel

Microsoft Office

Fusion

Enable

SEI

Descripción del empleo

Lead a team that helps shape regulatory excellence

At Benchmark, we support high-quality financial advisers through award-winning technology, investment solutions and regulatory services. As part of our Compliance function, you'll play a key role in maintaining strong regulatory standards, driving continuous improvement, and supporting positive client outcomes across our business.

Department

Operations Compliance

Location

Horsham

What you'll do

You'll lead the day-to-day delivery of compliance oversight and monitoring activities, while supporting the wider business in meeting its regulatory obligations.

Key responsibilities include:

• Managing, coaching and developing a team of Compliance Analysts and Compliance Monitoring Officers.
• Setting team objectives and conducting regular performance reviews and check-ins.
• Delivering a robust programme of compliance monitoring and business controls.
• Identifying regulatory risks and implementing effective controls and mitigation strategies.
• Monitoring regulatory developments and assessing their impact on the business.
• Producing high-quality management information and reporting for senior stakeholders.
• Working closely with senior leaders and board members on regulatory and compliance matters.
• Supporting FCA notifications and regulatory interactions where required.
• Driving process improvements and system enhancements.
• Supporting operational teams with compliance guidance, training and best practice.
• Reviewing business data and monitoring trends to identify emerging risks and opportunities.
• Deputising for the Compliance Manager when required.

The knowledge, experience and qualifications you need

You'll have a strong understanding of regulatory compliance within wealth management, platform operations or financial services, alongside experience leading or mentoring a team.

Requirements include:

• Level 4 Diploma in Financial Planning (or equivalent) and/or relevant investment qualifications.
• Experience working within a compliance, platform operations or regulatory environment.
• Previous people management experience, or proven experience deputising for a manager.
• Strong knowledge of FCA regulations and their practical application.
• Understanding of risk management, controls and compliance 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 Microsoft Office, particularly Excel.
• Experience of systems such as Fusion, Enable and SEI would be advantageous.

We're looking for someone who

• Leads by example and acts with integrity.
• Builds strong relationships across all levels of the business.
• Takes a pragmatic, risk-based approach to compliance.
• Can balance regulatory requirements with commercial realities.
• Motivates and develops others to achieve high standards.
• Champions positive customer outcomes and Treating Customers Fairly principles.
• Acts with due skill, care and diligence.

Inclusion and diversity

We know that diverse perspectives and an inclusive culture where all can succeed lead to better decisions and stronger outcomes for the company its clients and its employees. That’s why inclusion and diversity are strategic priorities for us. We’re proud to be an equal opportunities employer. You’re welcome at Benchmark regardless of your age, disability, gender identity or expression, religious beliefs, sexual orientation, or socio-economic background. We’re building a workplace where everyone feels respected, valued, and empowered to thrive.