Compliance & Training Supervisor

Benchmark Capital Limited; Horsham; On-site; GBP 45,000 - 65,000; Full time

Job summary

Benchmark Capital Limited is seeking a Compliance & Training Supervisor to join our Network Compliance team in Horsham. You will oversee regulatory compliance for a portfolio of advisers, coach and develop authorised persons, and support Appointed Representatives across the UK to deliver compliant, client-focused outcomes.

This hybrid role combines technical regulatory work with people development, requires strong FCA knowledge, and offers a collaborative environment with campus facilities at

Qualifications

• UK regulatory framework knowledge (FCA) and application.
• Experience in supervision or adviser oversight.
• Strong coaching and communication skills.
• Ability to analyse information, identify risks and make balanced decisions.
• Desirable progression towards Chartered status and Level 6 qualification.

Responsibilities

• Managing a portfolio of up to 40 Registered Individuals and delivering ongoing regulatory oversight.
• Conducting risk-based compliance monitoring, file reviews and KPI assessments.
• Coaching, mentoring and training advisers to support good consumer outcomes.
• Supporting the supervision and sign-off of newly appointed advisers.
• Identifying regulatory risks, emerging trends and areas for improvement.
• Reviewing and approving financial promotions in line with FCA requirements.
• Working closely with senior stakeholders across adviser firms and within Benchmark.
• Supporting regulatory interactions and FCA reporting where required.

Skills

Level 4 Diploma in Financial Planning

FCA regulations knowledge

Compliance experience

Coaching

Stakeholder management

Analytical thinking

Education

Level 4 Diploma in Financial Planning (or equivalent)

Job description

Compliance & Training Supervisor

Department: Network Compliance

Employment Type: Full Time

Location: Horsham

Reporting To: Sheila O'Hara

Description

At Benchmark, compliance is more than oversight. It’s about helping advisers deliver the right outcomes for clients while navigating an evolving regulatory environment with confidence.

We're looking for a Compliance & Training Supervisor to join our Compliance team. In this role, you'll work closely with Appointed Representative firms and financial advisers across the UK, providing regulatory oversight, coaching, training and practical support. You'll help maintain high standards of compliance while building trusted relationships that drive improvement and best practice.

This is an excellent opportunity for a compliance professional with financial planning experience who enjoys combining technical expertise with adviser development and relationship management.

What you'll do

• Managing a portfolio of up to 40 Registered Individuals and delivering ongoing regulatory oversight.
• Conducting risk-based compliance monitoring, file reviews and KPI assessments.
• Coaching, mentoring and training advisers to support good consumer outcomes.
• Supporting the supervision and sign-off of newly appointed advisers.
• Identifying regulatory risks, emerging trends and areas for improvement.
• Reviewing and approving financial promotions in line with FCA requirements.
• Working closely with senior stakeholders across adviser firms and within Benchmark.
• Supporting regulatory interactions and FCA reporting where required.

The knowledge, experience and qualifications you need

You’ll bring a strong understanding of the UK financial planning sector and a practical approach to compliance.

Essential experience and qualifications:

• Level 4 Diploma in Financial Planning (or equivalent).
• Strong knowledge of FCA regulations and their application.
• Experience in compliance, supervision or adviser oversight.
• Excellent coaching, communication and stakeholder management skills.
• Ability to analyse information, identify risks and make balanced decisions.

Desirable experience and qualifications:

• Advanced Diploma (Level 6) and progression towards Chartered status.
• J07 Supervision in a Regulated Environment.
• Specialist qualifications in areas such as pensions, mortgages, equity release, long-term care or investments.
• Experience working within an adviser network or directly authorised environment.
• Experience supporting financial advisers within wealth management or financial planning.

The base

This is a predominantly home-based role with quarterly visits to our Broadlands Business Campus near Horsham, West Sussex.

Our Horsham campus offers a professional and modern working environment with an on-site restaurant, coffee shop, gym and shuttle service to Horsham railway station. We support flexible working and welcome conversations about the arrangements that work best for you.