Regulatory Compliance Consultant

Join Our Award-Winning Team at Benchmark Capital in Horsham!

At Benchmark, we are dedicated to providing innovative, proprietary solutions that encompass regulatory, platform, and investment services. Our mission is to support financial advisers throughout their journey—helping them operate their businesses more effectively and accelerate growth while realising their value. With our own Financial Advice business, we assist families in finding tailored solutions, enabling them to achieve peace of mind and meet their aspirations.

Client outcomes and interests are central to everything we do at Benchmark Capital. We are committed to the principles of Treating Customers Fairly (TCF), ensuring we promote our duty of care to all clients, including those who might be more vulnerable.

Location:

You will have the flexibility to work from home or at our Schroders Business Campus located near Horsham in West Sussex. Our spacious, countryside campus boasts state-of-the-art facilities, including an on-site restaurant, coffee shop, and gym. Commuters can enjoy a stress-free journey with our dedicated shuttle bus service to and from Horsham’s mainline train station.

Role Overview:

We are seeking a Regulatory Compliance Consultant to join our team, reporting to the Group Technical Compliance Manager. This role focuses on supporting regulatory change and compliance advisory aspects, assessing and operationalising both existing and new regulatory requirements. You will provide actionable insights to decision-makers within the Benchmark Capital Group, ensuring compliance with all relevant regulations, particularly those set by the Financial Conduct Authority (FCA).

Key Responsibilities:

• Conduct horizon scanning to identify and assess significant regulatory developments impacting Benchmark.
• Support the Technical Compliance Manager in tracking FCA outputs and their relevance to our authorised firms.
• Provide regulatory analysis and document requirements for initiatives based on horizon scanning findings.
• Collaborate with subject matter experts to assess the impact of regulatory changes and track necessary actions for implementation.
• Assist with implementing regulatory developments, ensuring effective assessments and gap analyses are actioned promptly.
• Deliver clear regulatory summaries and updates to stakeholders and produce a Quarterly Regulatory Change report.
• Advise on regulatory queries and assist in project compliance analysis.
• Support the development of new policies and procedures that promote compliance across the business.
• Engage with senior management and external stakeholders to foster relationships and ensure alignment with industry best practices.

What We’re Looking For:

• A minimum of 3 years’ experience in a compliance function within the financial services industry, preferably in wealth or investment management.
• Solid understanding of regulatory compliance, particularly related to the FCA.
• Strong analytical skills and the ability to communicate complex regulatory impacts effectively to various stakeholders.
• Proficiency in Microsoft Office, especially Excel for data analysis.

Desirable Knowledge and Skills:

• Project management skills and experience with regulatory initiatives.
• Familiarity with the Financial Services and Markets Act 2000 (FSMA) and current trends in regulatory compliance.
• A university degree (preferably in law) and/or professional qualifications are advantageous, but not essential.

Personal Attributes:

• A champion of Treating Customers Fairly principles and a proactive team player.
• Highly organised with excellent attention to detail and the ability to manage multiple tasks in a fast-paced environment.
• Self-motivated and dedicated to continuous professional development.
• Strong leadership skills with a desire to support and mentor others.

We Recognise Potential, Whoever You Are

Our purpose is to provide excellent investment performance to clients through active management. Diversity of thought facilitated by an inclusive culture will allow us to make better decisions and better achieve our purpose. This is why inclusion and diversity are a strategic priority for us and why we are an equal opportunities employer: you are welcome here regardless of your age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background or any other protected characteristics.

We Value Diversity:

At Benchmark, we are proud to be an equal opportunities employer. We welcome applicants from all backgrounds. Join us in making a meaningful impact in the financial services industry!

Apply Today!