At a Glance
- Tasks: Lead compliance and regulatory oversight in a dynamic financial services environment.
- Company: Join Benchmark, a leading UK financial planning business with a focus on growth.
- Benefits: Competitive salary, inclusive culture, and opportunities for professional development.
- Other info: Diverse and inclusive workplace where every voice is valued.
- Why this job: Make a real impact by shaping compliance strategies and driving positive client outcomes.
- Qualifications: Senior compliance leadership experience and strong understanding of FCA regulations required.
Description
Have you operated at a senior level within an FCA-regulated wealth management, adviser network or financial planning business, with responsibility for regulatory oversight and senior stakeholder engagement?
Can you combine strong regulatory judgement with a pragmatic, commercial approach that supports business growth while delivering positive client outcomes? Benchmark is seeking an experienced and commercially minded Senior Compliance Manager to lead our compliance, supervision and regulatory oversight functions.
Department: Group Compliance
Location: Horsham
Description
Have you operated at a senior level within an FCA-regulated wealth management, adviser network or financial planning business, with responsibility for regulatory oversight and senior stakeholder engagement?
Can you combine strong regulatory judgement with a pragmatic, commercial approach that supports business growth while delivering positive client outcomes? Benchmark is seeking an experienced and commercially minded Senior Compliance Manager to lead our compliance, supervision and regulatory oversight functions.
Reporting to the Chief Risk Officer and holding SMF16 responsibility, you will play a key role in maintaining a strong compliance culture across our wealth management businesses and adviser networks. This is a senior leadership position that combines strategic regulatory oversight, stakeholder engagement and people leadership.
You will work closely with executive leadership, regulatory bodies and business stakeholders to support sustainable growth, manage regulatory risk and deliver good customer outcomes.
This is an opportunity to influence the direction of one of the UK's leading financial planning businesses while leading specialist compliance and supervisory teams through a period of continued growth and acquisition activity.
What you'll do
- Act as the SMF16 Compliance Oversight function holder across Oculus Wealth Management, Best Practice IFA Group and Evolution Wealth Network.
- Maintain and continually enhance the compliance framework across the business.
- Provide independent oversight and challenge to ensure regulatory obligations are effectively understood, monitored and embedded.
- Identify, assess and manage compliance risks, ensuring appropriate escalation where required.
- Lead regulatory engagement with the FCA and other regulatory bodies.
- Support regulatory visits, thematic reviews, Section 166 reviews and supervisory activities.
- Advise senior stakeholders on regulatory developments, industry trends and emerging risks.
- Maintain effective governance frameworks and management information to support regulatory oversight.
Leadership & People Management
- Lead and develop the Network Supervisory, Network Quality & Risk and Central Compliance teams.
- Build a high-performing culture focused on accountability, development and continuous improvement.
- Set objectives, monitor performance and support capability development across the function.
- Provide technical guidance, coaching and support to managers and team members.
- Maintain succession planning and resource management across the compliance function.
Compliance & Network Oversight
- Support the Chief Risk Officer in maintaining an effective and proportionate supervision framework.
- Oversee regulatory monitoring and supervision of appointed representative firms and advisers.
- Act as an escalation point for complex compliance, supervisory and conduct matters.
- Maintain oversight of Training & Competence arrangements.
- Drive remediation activity arising from supervisory findings, reviews and risk assessments.
- Apply a proportionate, risk-based approach while maintaining high regulatory standards.
Risk, Monitoring & Assurance
- Oversee compliance monitoring plans, thematic reviews and quality assurance programmes.
- Monitor key risk indicators and management information to identify trends and emerging issues.
- Lead investigations into significant regulatory breaches, conduct concerns and compliance matters.
- Ensure findings are documented, escalated appropriately and resolved effectively.
Governance & Policy
- Own and maintain core compliance policies including Communications, Conflicts of Interest and Cross-Border policies.
- Keep policies, procedures and guidance aligned with regulatory expectations and industry best practice.
- Produce board-level reporting and management information for governance forums.
- Support Risk, Compliance and Audit Committee reporting.
Stakeholder Management
- Partner with executive leadership and senior stakeholders across the Group.
- Provide practical regulatory advice, guidance and challenge.
- Build strong relationships with adviser firms, regulators and external stakeholders.
- Support acquisitions, strategic initiatives, regulatory change programmes and business transformation activities.
- Deliver regular regulatory communications and updates to adviser firms.
The knowledge, experience and qualifications you need
- Significant senior compliance leadership experience within financial services.
- Experience operating within an FCA-approved Senior Manager Function or equivalent senior regulatory role.
- Strong understanding of FCA regulations, Consumer Duty and the UK regulatory framework.
- Experience managing relationships with regulators and leading regulatory interactions.
- Experience within wealth management, financial planning or adviser network environments.
- Experience leading and developing high-performing teams.
- Strong stakeholder management and influencing skills at executive level.
- Excellent analytical, communication and decision-making abilities.
- A pragmatic, commercial and risk-based approach to compliance oversight.
- Level 4 Diploma in Regulated Financial Planning or equivalent professional qualification.
Desirable
- Experience within adviser networks or appointed representative models.
- Wealth management or investment management experience.
- Experience leading major regulatory change initiatives.
- Experience supporting acquisitions, integrations or transformation programmes.
- Knowledge of evolving regulatory expectations and industry trends.
What you will be like
- A credible and confident leader.
- Commercially aware and risk focused.
- Highly collaborative and approachable.
- Calm under pressure and comfortable making difficult decisions.
- Strong attention to detail with excellent professional judgement.
- Solutions-focused with a continuous improvement mindset.
- Able to balance regulatory obligations with business objectives.
- Committed to delivering positive customer outcomes.
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.
Senior Compliance Manager in Horsham 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.
StudySmarter Expert Advice🤫
We think this is how you could land Senior Compliance Manager in Horsham
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Benchmark Capital looking for candidates who are engaged and informed.
We think you need these skills to ace Senior Compliance Manager in Horsham
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Benchmark Capital. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Benchmark Capital
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Benchmark Capital’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
