Compliance & Training Supervisor

Benchmark Capital

. Manage a portfolio of up to 40 Registered Individuals and deliver ongoing regulatory oversight .

Posted 10/14/2026full-timeHorsham • United KingdomMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory oversight and compliance within the financial services sector, with a strong focus on FCA regulations and effective coaching of financial advisers. Proven ability to analyze risks, support good consumer outcomes, and build trusted relationships with stakeholders.

Highest-signal resume keywords

FCA Regulations KnowledgeCompliance MonitoringCoaching and MentoringRisk AnalysisFinancial Planning Diploma

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

ComplianceSupervisionAdviser OversightKPI AssessmentFinancial Promotions ReviewRegulatory ReportingRisk IdentificationDecision MakingStakeholder ManagementTraining

Soft Skills

CoachingCommunicationRelationship BuildingAnalytical ThinkingProblem Solving

Certifications & Qualifications

Level 4 Diploma in Financial PlanningAdvanced Diploma (Level 6)J07 Supervision in a Regulated Environment

Industry Keywords

Regulatory OversightFinancial AdvisersAdviser NetworkWealth ManagementConsumer OutcomesEmerging TrendsBest PracticeAppointed Representative FirmsPensionsInvestments

About the role

Key responsibilities & impact

Manage a portfolio of up to 40 Registered Individuals and deliver ongoing regulatory oversight
Conduct risk-based compliance monitoring, file reviews and KPI assessments
Coach, mentor and train advisers to support good consumer outcomes
Support the supervision and sign-off of newly appointed advisers
Identify regulatory risks, emerging trends and areas for improvement
Review and approve financial promotions in line with FCA requirements
Work closely with senior stakeholders across adviser firms and within Benchmark
Support regulatory interactions and FCA reporting where required
Provide regulatory oversight, coaching, training and practical support to Appointed Representative firms and financial advisers across the UK
Build trusted relationships that drive improvement and best practice

Requirements

What you’ll need

Level 4 Diploma in Financial Planning (or equivalent)
Strong knowledge of FCA regulations and their application
Experience in compliance, supervision or adviser oversight
Excellent coaching, communication and stakeholder management skills
Ability to analyse information, identify risks and make balanced decisions
Advanced Diploma (Level 6) and progression towards Chartered status (desirable)
J07 Supervision in a Regulated Environment (desirable)
Specialist qualifications in pensions, mortgages, equity release, long-term care or investments (desirable)
Experience working within an adviser network or directly authorised environment (desirable)
Experience supporting financial advisers within wealth management or financial planning (desirable)

Benefits

Comp & perks

Predominantly home-based role with quarterly visits to Broadlands Business Campus near Horsham, West Sussex
On-site restaurant
Coffee shop
Gym
Shuttle service to Horsham railway station
Flexible working
Professional and modern working environment