Compliance & Training Supervisor

🔥 2 hours ago

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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

• 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. • 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. • 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.

🎯 Requirements

• 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.

🏖️ Benefits

• 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.