Compliance Team Manager

Benchmark Capital Limited; Horsham; On-site; GBP 60,000 - 85,000; Full time

Job summary

Benchmark Capital Limited is seeking a Compliance Team Manager to lead a team within the Operations Compliance function in Horsham. You will oversee compliance oversight and monitoring activities, ensuring regulatory obligations are met and driving continuous improvement across the business.

The role requires strong FCA knowledge, team leadership experience, and the ability to provide guidance to operational teams.

Qualifications

• Strong regulatory compliance knowledge in wealth management or financial services.
• Experience leading or mentoring a team of analysts or officers.
• Excellent communication and stakeholder management skills.

Responsibilities

• Lead day-to-day delivery of compliance oversight and monitoring activities.
• Set team objectives and conduct performance reviews.
• Deliver robust monitoring programmes and control frameworks.
• Identify regulatory risks and implement controls and mitigations.
• Produce management information and reporting for senior stakeholders.
• Support FCA notifications and regulatory interactions as needed.
• Drive process improvements and system enhancements.

Skills

Regulatory compliance knowledge

Leadership

Stakeholder management

Analytical/problem-solving

Education

Level 4 Diploma in Financial Planning

Tools

Fusion

Enable

SEI

Job description

Compliance Team Manager

Department: Operations Compliance

Employment Type: Full Time

Location: Horsham

Reporting To: Jamie Thomas

Description

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.

We're looking for an experienced Compliance Team Manager to lead a team of Compliance Analysts and Monitoring Officers within Fusion Wealth. This is an opportunity to combine technical compliance expertise with people leadership, helping to strengthen our regulatory framework while developing and supporting a high-performing team.

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.