What are the responsibilities and job description for the Compliance & Training Supervisor position at Schroders Recruitment?
Job Title: Compliance and Training Supervisor
Location: Schroders Business Campus, Horsham, West Sussex
About Benchmark:
At Benchmark, we pride ourselves on providing award-winning, proprietary solutions that encompass regulatory, platform, and investment services. Our offerings are designed to support financial advisers throughout their journey—from launching and operating their businesses efficiently to accelerating growth and enhancing their value.
We empower quality financial advisers with advanced technology and support services. Additionally, through our own Financial Advice business, we assist families in finding tailored solutions to meet their needs and aspirations, ultimately helping them achieve peace of mind. Committed to delivering superior outcomes, we put client interests at the forefront of our decision-making processes. We embody the principles of Treating Customers Fairly, ensuring we uphold our duty of care to all clients, including those who may be more vulnerable.
The Base:
You will be based at our impressive Schroders Business Campus near Horsham, set in a serene countryside environment. This campus is renowned for its high standards and international reputation, making it an exceptional working environment. Our facilities include modern office setups, an on-site restaurant, coffee shop, and gym. For our commuters, we offer a dedicated shuttle bus service to and from Horsham’s main line train station.
What You’ll Do:
- Stay informed on regulatory and industry developments.
- Manage a specified span of control of up to 40 Registered Individuals, ensuring oversight within desired timescales.
- Monitor AR firms while coaching and mentoring approved persons, both remotely and on-site, to guarantee compliance with regulatory rules and Network procedures.
- Collaborate with senior management regarding regulatory and Network issues.
- Assist the Compliance Director in providing timely responses to FCA information requests.
- Ensure appropriate notifications to the FCA are made.
- Apply a risk-based approach to the compliance monitoring process.
- Conduct file reviews to accurately record findings and mitigate associated risks.
- Perform regular KPI reviews, recording and identifying adverse trends while handling them accordingly.
- Test approved persons on product knowledge and selling practices, offering relevant feedback and training.
- Supervise new joiners to AR firms, implementing appropriate supervision and sign-off procedures.
- Ensure financial promotions for member firms comply with FCA rules, assisting firms in applying regulatory guidelines.
- Undertake additional tasks and projects as delegated by the Compliance Director/Compliance Manager with a proactive and timely approach.
Knowledge, Experience, and Qualifications Required:
- In-depth knowledge of FCA rules and their application.
- Strong ability to train and motivate others while remaining adaptable.
- Highly developed analytical, observational, and communication skills.
- Minimum Level 4 Diploma in regulated financial planning (or equivalent) with a desire for further qualifications.
- Significant compliance experience in the financial services sector, ideally within investment or insurance environments.
- Comprehensive understanding of FCA/PRA regulatory expectations.
- Experience working within a network of Financial Advisers.
Additional Qualifications That Will Help:
- Level 6 Advanced Diploma working towards Chartered Status.
- J07 Supervision in a Regulated Environment.
- Specialist qualifications such as:
- Equity Release/Lifetime Mortgages – ER1 & HR1 or equivalent.
- Occupational Pensions – Combination of J04, J05 & AF3 or equivalent.
- Long-Term Care – CF8.
- Mortgages - CeMAP/MAQ/CF6.
- Single share-based investments – L4 diploma IMC or securities gap fill.
We're Looking for the Best, Whoever They Are
Our mission is to deliver excellent client outcomes and service. We understand that diverse perspectives lead to better decisions; therefore, fostering an inclusive culture is one of our strategic priorities. We are an equal opportunities employer who welcomes applicants from all backgrounds, regardless of age, disability, gender identity, religious beliefs, sexual orientation, socio-economic background, or any other protected characteristics.
Apply Today!
Join us at Benchmark Capital and be a part of a team that values excellence and client satisfaction.
