Compliance & Training Supervisor

Description

Department:
Network Compliance

Location:

Harrogate

Location:

Home-based or Harrogate, North Yorkshire - remote working options available

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.

• 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.

• 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.

• Working towards Level 6 Advanced Diploma / Chartered Status.
• J07 (Supervision in a Regulated Environment).
• Specialist qualifications (e.g., ER1, CF8, CeMAP).
• Ideally from a banking/high net worth client background
• Experience in financial services compliance, ideally within a network of advisers.

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.

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.