Investment Compliance Manager

Benchmark Capital Limited; Horsham; On-site; GBP 65,000 - 90,000; Full time

Benefits offered by this job

Hybrid working environment

Job summary

Benchmark Capital Limited is seeking an experienced Investment Compliance Manager in Horsham to join the Risk & Compliance team on a fixed term basis. You will provide independent second-line oversight of in-house investment activities and MPS, strengthening governance and regulatory compliance.

You will design and implement an oversight framework, monitor controls, report on regulatory risks, and collaborate with senior stakeholders to drive compliance across the business.

Qualifications

• Level 4 Diploma or equivalent 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, assurance frameworks or second-line oversight functions.
• Understanding of investment governance, portfolio management and adviser distribution models.
• Experience producing high-quality compliance reports and board-level management information.
• Excellent analytical, communication and stakeholder management skills.
• Ability to provide constructive challenge while building relationships across the business.
• Strong organisational skills with ability to manage multiple priorities.

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 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 escalation/remediation.
• Supporting regulatory change initiatives, thematic reviews and investment compliance projects.

Skills

Investment governance

Regulatory reporting

Stakeholder management

Analytical skills

Regulatory oversight

Education

Level 4 Diploma (financial planning/investments/compliance)

Job description

Investment Compliance Manager

Department: Operations Compliance

Employment Type: Fixed Term Contract

Location: Horsham

Reporting To: Jamie Thomas

Description

We're looking for an experienced Investment Compliance Manager to join our Risk & Compliance team on a fixed term contract basis.

This is a key role providing independent second-line oversight of Benchmark's investment and Managed Portfolio Service (MPS) activities. You'll play a central part in strengthening investment governance, supporting regulatory compliance and helping the business continue to deliver excellent outcomes for clients.

Working closely with senior stakeholders across Investment Management, Risk and Compliance, you'll provide oversight, challenge and assurance across our investment proposition during an exciting period of growth and development.

What you'll do

As Investment Compliance Manager, you'll provide independent oversight of Benchmark's in-house Managed Portfolio Service and wider investment activities.

Key responsibilities include:

• 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

The knowledge, experience and qualifications you need

You'll be an experienced compliance professional with strong investment knowledge and the ability to provide independent oversight within a regulated financial services environment.

We're particularly interested in candidates with:

• 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, assurance frameworks or second-line oversight functions
• A detailed understanding of investment governance, portfolio management and adviser distribution models
• Experience producing high-quality compliance reports and board-level management information
• Excellent analytical, communication and stakeholder management skills
• The confidence to provide constructive challenge while building effective working relationships across the business
• Strong organisational skills and the ability to manage multiple priorities in a fast-paced environment

Why join Benchmark?

• Opportunity to influence the governance and oversight of a growing investment proposition
• Exposure to senior leadership, governance committees and key regulatory initiatives
• Collaborative, supportive and professional culture
• Hybrid working environment
• Backing of a major international wealth management group
• Competitive salary and benefits package