At a Glance
- Tasks: Oversee investment compliance and governance, ensuring regulatory standards are met.
- Company: Join a leading international wealth management group with a collaborative culture.
- Benefits: Enjoy a competitive salary, hybrid working, and professional development opportunities.
- Other info: Work closely with senior leaders and influence key regulatory initiatives.
- Why this job: Make a real impact on investment governance during an exciting growth phase.
- Qualifications: Experience in compliance with strong investment knowledge and excellent communication skills.
The predicted salary is between 59400 - 72600 £ per year.
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.
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
Investment Compliance Manager in Horsham employer: Benchmark Capital Limited
As a PMO Finance Analyst at our Horsham location, you will thrive in a dynamic work culture that values collaboration and innovation. We offer competitive benefits, opportunities for professional growth, and a commitment to continuous improvement, ensuring that you can develop your skills while making a meaningful impact on strategic investment decisions. Join us to be part of a team that not only values your financial expertise but also fosters an environment where your insights drive real change.
StudySmarter Expert Advice🤫
We think this is how you could land Investment Compliance Manager in Horsham
✨Join Financial Networking Events
Jump into local finance meetups and conferences — they’re a goldmine for temporary roles in banking and financial services. You can chat with industry professionals and even get leads on upcoming opportunities that might not be posted online yet.
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Reach out to temp agencies that focus on the banking sector. They often have strong ties with various firms and can help you secure short-term gigs that can help beef up your CV and get your foot in the door at firms like Benchmark Capital Limited.
✨Connect with Alumni from Your Uni
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We think you need these skills to ace Investment Compliance Manager in Horsham
Some tips for your application 🫡
Show Off Your Academic Achievements:In banking and financial services, your academic record can really make you stand out. List relevant grades, certifications, or coursework on your CV, especially if you've taken finance-related modules. This is particularly important for a temporary role where qualifications can help you shine even brighter!
Highlight Relevant Experience:If you’ve done any internships, part-time roles, or even coursework that aligns with banking or finance, make sure you include those! Showcase specific tasks where you used quantitative skills or analytical thinking, as this is what the hiring managers at Benchmark Capital Limited will be keen to see in your application.
Tailor Your Cover Letter Purposefully:When writing your cover letter, focus on why you’re interested in a temporary position at Benchmark Capital Limited. Let them know how you can quickly adapt to the team's needs and how eager you are to learn the ropes of the banking sector during this short stint. Your motivation and enthusiasm could really set you apart!
Be Prepared with References:For temporary roles, references can play a crucial role in your application. Make sure you’ve got a couple of references lined up who can vouch for your skills and work ethic. This helps to give Benchmark Capital Limited confidence in your short-term commitment to the role.
How to prepare for a job interview at Benchmark Capital Limited
✨Brush Up on Financial Regulations
Since this is a role in banking and financial services, be ready to discuss key regulations like MiFID, Basel III, or GDPR. These are hot topics, and your awareness of how they impact daily operations can give you a significant edge during your interview with Benchmark Capital Limited.
✨Showcase Your Analytical Skills
Prepare for interview questions that assess your analytical abilities. You might need to tackle hypothetical scenarios involving risk assessment or financial forecasting. Bringing examples of relevant projects or coursework can emphasise your practical understanding of these concepts.
✨Highlight Flexibility and Adaptability
For a temporary role, showing that you can quickly pick up new processes and tools is crucial. Be ready to discuss previous experiences where you had to adapt to changing requirements or tight deadlines, as this will reassure Benchmark Capital Limited that you’re a reliable team player.
✨Demonstrate a Willingness to Learn
In a temporary position, leaning into your eagerness to learn can really set you apart. Be prepared to share how you’re staying updated on industry trends or any additional training you've pursued. Employers appreciate candidates who are proactive about their development—even for short-term roles.
