Compliance & Training Supervisor – Financial Adviser Supervision

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Benchmark Capital

WebsiteLinkedInAll Job Openings

201 - 500 employees

💸 Finance

👥 B2C

💰 Corporate round on 2016-11

Finance • B2C

Benchmark Capital is a UK-based financial planning and wealth management firm that provides personalised financial advice, wealth management and related client services across multiple regional offices in the United Kingdom. The provided careers and corporate content emphasizes financial planning, pensions, private medical and life benefits for employees, a client-focused advisory approach, and local offices serving individuals, families and businesses in towns such as Brighton, Chester, Derry, Horsham, Maidstone, Romsey, Wimborne, Shrewsbury, Stratford-upon-Avon and Winchester. The site footer references Schroders plc, suggesting affiliation or ownership, and the firm positions itself around trusted, personalised financial advice and long-term client relationships.

📋 Description

• Maintain oversight of a portfolio of up to 40 Registered Individuals. • Plan and complete supervision activities within agreed timescales. • Coach, mentor and support Financial Advisers and Appointed Representative firms. • Assess adviser competence and provide constructive feedback. • Support the onboarding, supervision and sign-off of new advisers. • Deliver training and guidance on FCA regulation, good practice and Benchmark procedures. • Promote high standards of consumer outcomes and regulatory compliance. • Compliance Monitoring • Conduct risk-based file reviews and record findings accurately. • Identify regulatory risks and recommend appropriate actions. • Review adviser KPI data and management information. • Monitor trends and escalate concerns where appropriate. • Test adviser knowledge and sales practices against regulatory expectations. • Support the approval of financial promotions in line with FCA requirements. • Help firms interpret and apply FCA advertising and communication rules. • Regulatory & Stakeholder Management • Stay up to date with FCA regulations and industry developments. • Build strong relationships with advisers, firms and senior stakeholders. • Support responses to FCA information requests. • Assist with regulatory notifications and reporting requirements. • Contribute to wider compliance initiatives and projects.

🎯 Requirements

• Level 4 Diploma in Regulated Financial Planning (DipPFS, DipFA or equivalent). • Strong understanding of FCA rules, Consumer Duty and Treating Customers Fairly principles. • Experience within financial services compliance, supervision or adviser oversight. • Ability to coach, train and develop Financial Advisers. • Excellent communication and stakeholder management skills. • Strong analytical skills with the ability to identify and assess risk. • Experience conducting file reviews, quality assurance reviews or compliance monitoring activities. • UK-based with the ability to attend quarterly meetings in Horsham. • Desirable • Advanced Diploma (Level 6) or progression towards Chartered status. • J07 Supervision in a Regulated Environment. • Experience working within a Financial Adviser network. • Specialist qualifications in areas such as: • - Equity Release • - Mortgages • - Occupational Pensions • - Long Term Care • - Investment Management

🏖️ Benefits

• This role is home-based and can be performed remotely from anywhere within the UK.**** • You will attend quarterly team and business meetings at our Broadlands Business Campus near Horsham, West Sussex. The campus provides a modern working environment with an on-site restaurant, coffee shop and gym, together with a shuttle service to Horsham railway station.**** • We support flexible working and welcome conversations about the arrangements that work best for you.******Why Join Benchmark?** • - Remote UK-based role with limited travel requirements. • - Opportunity to influence adviser standards and consumer outcomes across a national network. • - Exposure to a large and growing financial planning business. • - Collaborative and supportive culture focused on professional development.