Application Deadline: 31 July 2026
Department: Network Compliance
Location: Harrogate
Location: Home-based or Harrogate, North Yorkshire - remote working options available
Department: Risk & Compliance
Working Style: Flexible working options available
To ensure that appointed representatives (ARs) and registered individuals within the network operate in full compliance with FCA regulations and Benchmark's internal procedures. This includes oversight, coaching, training, and monitoring to promote good client outcomes and uphold Consumer Duty principles.
What you'll do
Compliance Oversight
- Supervise a span of control of ~40 Registered Individuals.
- Monitor AR firms remotely and on-site, providing coaching and mentoring.
- Liaise with senior management on regulatory matters.
- Support FCA information requests and notifications.
Compliance Monitoring
- Conduct risk-based file reviews and KPI assessments.
- Identify and report adverse trends or risks.
- Test product knowledge and selling practices of approved persons.
- Supervise and sign off new joiners to AR firms.
- Approve financial promotions in line with FCA rules.
Training & Development
- Deliver feedback and training based on compliance findings.
- Promote Consumer Duty and Treating Customers Fairly principles.
- Take on delegated tasks and projects with initiative and high standards.
The knowledge, experience and qualifications you need
Essential
- Level 4 Diploma in Regulated Financial Planning (or equivalent).
- Strong knowledge of FCA rules and their practical application.
- Proven ability to train, motivate, and communicate effectively.
Desirable
- Working towards Level 6 Advanced Diploma / Chartered Status.
- J07 (Supervision in a Regulated Environment).
- Specialist qualifications (e.g., ER1, CF8, CeMAP).
- Experience in financial services compliance, ideally within a network of advisers.
Remote Working Flexibility
While the Harrogate office offers an excellent working environment, the Compliance & Training Supervisor role is fully remote-enabled. Benchmark supports flexible working arrangements, allowing team members to work from home or the office depending on their personal and professional needs.
We're looking for the best, whoever they are
We know that diverse perspectives and an inclusive culture where all can succeed lead to better decisions and stronger outcomes for the company its clients and its employees. That's why inclusion and diversity are strategic priorities for us.
We're proud to be an equal opportunities employer.
You're welcome at Benchmark regardless of your age, disability, gender identity or expression, religious beliefs, sexual orientation, or socio-economic background.
We're building a workplace where everyone feels respected, valued, and empowered to thrive.
Compliance & Training Supervisor in Harrogate employer: Benchmark Capital
Benchmark Capital is an exceptional employer, offering a dynamic work culture that fosters collaboration and innovation in the wealth management sector. Located in Horsham, England, employees benefit from a supportive environment that prioritises professional growth and development, alongside competitive remuneration and unique networking opportunities within the UK market. Join us to make a meaningful impact while advancing your career in a forward-thinking company committed to excellence.
