Investment Compliance Lead — Governance & Oversight

Benchmark Capital; Horsham; Hybrid; GBP 60,000 - 90,000; Full time

Benefits offered by this job

Hybrid working environment

Backed by a major international wealth

Competitive salary and benefits

Job summary

Benchmark is seeking an experienced Investment Compliance Manager to join our Risk & Compliance team on a fixed-term contract in Horsham. You will provide independent second-line oversight of in-house MPS activities and broader investment governance.

Working with senior stakeholders, you will design and monitor compliance frameworks, deliver reporting to committees, and support regulatory change. The role is hybrid and offers a competitive package within a growing wealth management group.

Qualifications

• A Level 4 Diploma or equivalent qualification in financial planning, investments or compliance.
• Strong knowledge of FCA regulations relating to investments, MPS, Consumer Duty, COBS, MiFID II and product governance.
• Experience operating compliance monitoring programmes or second-line oversight functions.

Responsibilities

• Designing and maintaining a risk-based Investment Compliance Oversight Framework
• Providing second-line oversight of investment governance, portfolio management controls and product governance arrangements
• Delivering compliance monitoring and assurance activity across investment operations and governance processes
• Assessing and reporting on regulatory risks, client outcomes and control effectiveness
• Monitoring compliance with FCA requirements, Consumer Duty, COBS, MiFID II and product governance requirements
• Producing management information, governance papers and regulatory reports for senior stakeholders and committees
• Supporting the development and enhancement of investment-related policies, procedures and controls
• Providing effective challenge and guidance to business stakeholders on regulatory and conduct matters
• Identifying emerging risks, breaches, trends and control weaknesses, ensuring appropriate escalation and remediation
• Supporting regulatory change initiatives, thematic reviews and investment compliance projects

Skills

FCA regulations knowledge

Investment governance understanding

Stakeholder management

Analytical skills

Communication skills

Challenge mindset

Multitasking

Education

Diploma in financial planning / investments / compliance

Job description

Benchmark is seeking an experienced Investment Compliance Manager to join our Risk & Compliance team on a fixed-term contract in Horsham. You will provide independent second-line oversight of in-house MPS activities and broader investment governance.

Working with senior stakeholders, you will design and monitor compliance frameworks, deliver reporting to committees, and support regulatory change. The role is hybrid and offers a competitive package within a growing wealth management group.