We're looking for an experienced Investment Compliance Manager to join our Risk & Compliance team on a fixed term contract basis.
This is a key role providing independent second-line oversight of Benchmark's investment and Managed Portfolio Service (MPS) activities. You'll play a central part in strengthening investment governance, supporting regulatory compliance and helping the business continue to deliver excellent outcomes for clients.
Working closely with senior stakeholders across Investment Management, Risk and Compliance, you'll provide oversight, challenge and assurance across our investment proposition during an exciting period of growth and development.
As Investment Compliance Manager, you'll provide independent oversight of Benchmark's in-house Managed Portfolio Service and wider investment activities.
Key responsibilities include:
- Designing and maintaining a risk-based Investment Compliance Oversight Framework
- Providing second-line oversight of investment governance, portfolio management controls and product governance arrangements
- Delivering compliance monitoring and assurance activity across investment operations and governance processes
- Assessing and reporting on regulatory risks, client outcomes and control effectiveness
- Monitoring compliance with FCA requirements, Consumer Duty, COBS, MiFID II and product governance requirements
- Producing management information, governance papers and regulatory reports for senior stakeholders and committees
- Supporting the development and enhancement of investment-related policies, procedures and controls
- Providing effective challenge and guidance to business stakeholders on regulatory and conduct matters
- Identifying emerging risks, breaches, trends and control weaknesses, ensuring appropriate escalation and remediation
- Supporting regulatory change initiatives, thematic reviews and investment compliance projects
You'll be an experienced compliance professional with strong investment knowledge and the ability to provide independent oversight within a regulated financial services environment.
We're particularly interested in candidates with:
- A Level 4 Diploma or equivalent qualification in financial planning, investments or compliance
- Strong knowledge of FCA regulations relating to investments, MPS, Consumer Duty, COBS, MiFID II and product governance
- Experience operating compliance monitoring programmes, assurance frameworks or second-line oversight functions
- A detailed understanding of investment governance, portfolio management and adviser distribution models
- Experience producing high-quality compliance reports and board-level management information
- Excellent analytical, communication and stakeholder management skills
- The confidence to provide constructive challenge while building effective working relationships across the business
- Strong organisational skills and the ability to manage multiple priorities in a fast-paced environment
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Opportunity to influence the governance and oversight of a growing investment proposition
- Exposure to senior leadership, governance committees and key regulatory initiatives
- Collaborative, supportive and professional culture
- Hybrid working environment
- Backing of a major international wealth management group
- Competitive salary and benefits package
Benchmark is one of the UK’s leading financial planning businesses, aiming to help our clients realise aspirations and achieve peace of mind. We do this through our unique business model which provides support to over 1000 financial planners across our employed, self-employed and independent models. Our solutions are award-winning, enabled by proprietary technology covering regulatory, platform and investment services, all of which are designed to support advisers at every stage of their journey – from starting their career, improving how they run productively and effectively, to accelerating growth and ultimately thinking about succession planning.
We are growing rapidly, with more than 50 acquisitions in recent years and have multiple offices across the UK.
Delivering good client outcomes is at the heart of everything we do. Our duty of care, including support for vulnerable customers, is embedded into our culture and decision‑making.
As part of the Schroders Group, the UK’s largest listed asset manager with over £750bn of assets, Benchmark benefits from a focussed business model with clear accountability with the scale of a global services organisation.
We're looking for the best, whoever they are
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.
