Compliance & Training Supervisor

Description

Location: Home-based or Harrogate, North Yorkshire - remote working options avaiable
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