Compliance & Training Supervisor

Benchmark Capital Limited; Kingsfold; Remote; GBP 52,000 - 66,000; Full time

Job summary

Benchmark Capital Limited is seeking a Compliance & Training Supervisor to join our Network Compliance team. The role involves providing regulatory oversight, coaching, training and practical support to advisers across the UK, ensuring high compliance standards while fostering trusted relationships.

The role emphasizes advising firms and advisers, identifying regulatory risks, reviewing financial promotions, and collaborating with senior stakeholders.

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.

Responsibilities

• Manage a portfolio of up to 40 Registered Individuals with ongoing regulatory oversight.
• Conduct risk-based compliance monitoring, file reviews and KPI assessments.
• Coach, mentor and train advisers to support good consumer outcomes.
• Support supervision and sign-off of newly appointed advisers.
• Identify regulatory risks, emerging trends and areas for improvement.
• Review and approve financial promotions in line with FCA requirements.
• Collaborate with senior stakeholders across adviser firms and Benchmark.
• Support regulatory interactions and FCA reporting where required.

Skills

Coaching

Stakeholder management

Regulatory knowledge

Analytical thinking

Education

Level 4 Diploma in Financial Planning

Advanced Diploma (Level 6)

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.