Senior Compliance Manager

Senior Compliance Manager

Department: Group Compliance

Employment Type: Full Time

Location: Horsham

Reporting To: James Lasenby

Description

Have you operated at a senior level within an FCA-regulated wealth management, adviser network or financial planning business, with responsibility for regulatory oversight and senior stakeholder engagement?

Can you combine strong regulatory judgement with a pragmatic, commercial approach that supports business growth while delivering positive client outcomes?

Benchmark is seeking an experienced and commercially minded Senior Compliance Manager to lead our compliance, supervision and regulatory oversight functions.

Reporting to the Chief Risk Officer and holding SMF16 responsibility, you will play a key role in maintaining a strong compliance culture across our wealth management businesses and adviser networks. This is a senior leadership position that combines strategic regulatory oversight, stakeholder engagement and people leadership.

You will work closely with executive leadership, regulatory bodies and business stakeholders to support sustainable growth, manage regulatory risk and deliver good customer outcomes.

This is an opportunity to influence the direction of one of the UK's leading financial planning businesses while leading specialist compliance and supervisory teams through a period of continued growth and acquisition activity.

What you'll do

• Act as the SMF16 Compliance Oversight function holder across Oculus Wealth Management, Best Practice IFA Group and Evolution Wealth Network.
• Maintain and continually enhance the compliance framework across the business.
• Provide independent oversight and challenge to ensure regulatory obligations are effectively understood, monitored and embedded.
• Identify, assess and manage compliance risks, ensuring appropriate escalation where required.
• Lead regulatory engagement with the FCA and other regulatory bodies.
• Support regulatory visits, thematic reviews, Section 166 reviews and supervisory activities.
• Advise senior stakeholders on regulatory developments, industry trends and emerging risks.
• Maintain effective governance frameworks and management information to support regulatory oversight.

• Lead and develop the Network Supervisory, Network Quality & Risk and Central Compliance teams.
• Build a high-performing culture focused on accountability, development and continuous improvement.
• Set objectives, monitor performance and support capability development across the function.
• Provide technical guidance, coaching and support to managers and team members.
• Maintain succession planning and resource management across the compliance function.

• Support the Chief Risk Officer in maintaining an effective and proportionate supervision framework.
• Oversee regulatory monitoring and supervision of appointed representative firms and advisers.
• Act as an escalation point for complex compliance, supervisory and conduct matters.
• Maintain oversight of Training & Competence arrangements.
• Drive remediation activity arising from supervisory findings, reviews and risk assessments.
• Apply a proportionate, risk-based approach while maintaining high regulatory standards.

• Oversee compliance monitoring plans, thematic reviews and quality assurance programmes.
• Monitor key risk indicators and management information to identify trends and emerging issues.
• Lead investigations into significant regulatory breaches, conduct concerns and compliance matters.
• Ensure findings are documented, escalated appropriately and resolved effectively.

• Own and maintain core compliance policies including Communications, Conflicts of Interest and Cross-Border policies.
• Keep policies, procedures and guidance aligned with regulatory expectations and industry best practice.
• Produce board-level reporting and management information for governance forums.
• Support Risk, Compliance and Audit Committee reporting.

• Partner with executive leadership and senior stakeholders across the Group.
• Provide practical regulatory advice, guidance and challenge.
• Build strong relationships with adviser firms, regulators and external stakeholders.
• Support acquisitions, strategic initiatives, regulatory change programmes and business transformation activities.
• Deliver regular regulatory communications and updates to adviser firms.

The knowledge, experience and qualifications you need

• Significant senior compliance leadership experience within financial services.
• Experience operating within an FCA-approved Senior Manager Function or equivalent senior regulatory role.
• Strong understanding of FCA regulations, Consumer Duty and the UK regulatory framework.
• Experience managing relationships with regulators and leading regulatory interactions.
• Experience within wealth management, financial planning or adviser network environments.
• Experience leading and developing high-performing teams.
• Strong stakeholder management and influencing skills at executive level.
• Excellent analytical, communication and decision-making abilities.
• A pragmatic, commercial and risk-based approach to compliance oversight.
• Level 4 Diploma in Regulated Financial Planning or equivalent professional qualification.

• Experience within adviser networks or appointed representative models.
• Wealth management or investment management experience.
• Experience leading major regulatory change initiatives.
• Experience supporting acquisitions, integrations or transformation programmes.
• Knowledge of evolving regulatory expectations and industry trends.

What you will be like

• A credible and confident leader.
• Commercially aware and risk focused.
• Highly collaborative and approachable.
• Calm under pressure and comfortable making difficult decisions.
• Strong attention to detail with excellent professional judgement.
• Solutions-focused with a continuous improvement mindset.
• Able to balance regulatory obligations with business objectives.
• Committed to delivering positive customer outcomes.