Compliance & Training Lead: Financial Adviser Oversight

Benchmark Capital Limited; Kingsfold; On-site; GBP 40,000 - 60,000; Full time

Job summary

Benchmark Capital Limited is seeking an experienced Compliance & Training Supervisor to join our Risk & Compliance team, supporting and coaching Financial Advisers across a UK network. This remote role involves supervising, reviewing and training to maintain high regulatory standards and positive client outcomes.

The position suits someone with regulatory knowledge, coaching skills and experience in financial services compliance, working remotely with quarterly meetups in Horsham and UK-based

Qualifications

• Level 4 Diploma in Regulated Financial Planning (DipPFS, DipFA or equivalent).
• Strong understanding of FCA rules, Consumer Duty and Treating Customers Fairly principles.
• Experience within financial services compliance, supervision or adviser oversight.
• Ability to coach, train and develop Financial Advisers.
• Excellent communication and stakeholder management skills.
• Strong analytical skills with the ability to identify and assess risk.
• Experience conducting file reviews, quality assurance reviews or compliance monitoring activities.
• UK-based with the ability to attend quarterly meetings in Horsham.

Responsibilities

• Maintain oversight of a portfolio of up to 40 Registered Individuals.
• Plan and complete supervision activities within agreed timescales.
• Coach, mentor and support Financial Advisers and Appointed Representative firms.
• Assess adviser competence and provide constructive feedback.
• Support the onboarding, supervision and sign-off of new advisers.
• Deliver training and guidance on FCA regulation, good practice and Benchmark procedures.
• Promote high standards of consumer outcomes and regulatory compliance.
• Conduct risk-based file reviews and record findings accurately.
• Identify regulatory risks and recommend appropriate actions.
• Review adviser KPI data and management information.
• Monitor trends and escalates concerns where appropriate.
• Test adviser knowledge and sales practices against regulatory expectations.
• Support the approval of financial promotions in line with FCA requirements.
• Help firms interpret and apply FCA advertising and communication rules.
• Stay up to date with FCA regulations and industry developments.
• Build strong relationships with advisers, firms and senior stakeholders.
• Support responses to FCA information requests.
• Assist with regulatory notifications and reporting requirements.
• Contribute to wider compliance initiatives and projects.

Skills

Coaching & training

Communication

Stakeholder management

Analytical skills

Regulatory knowledge

Education

Level 4 Diploma in Regulated Financial Planning (DipPFS, DipFA or equivalent)

Advanced Diploma (Level 6) or progression towards Chartered status

J07 Supervision in a Regulated Environment

Job description

Benchmark Capital Limited is seeking an experienced Compliance & Training Supervisor to join our Risk & Compliance team, supporting and coaching Financial Advisers across a UK network. This remote role involves supervising, reviewing and training to maintain high regulatory standards and positive client outcomes.

The position suits someone with regulatory knowledge, coaching skills and experience in financial services compliance, working remotely with quarterly meetups in Horsham and UK-based