Compliance Team Manager
BENCHMARK CAPITAL
Salary undisclosed
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Description
Lead a team that helps shape regulatory excellence
We're looking for an experienced Compliance Team Manager to lead a team of Compliance Analysts and Monitoring Officers within Fusion Wealth. This is an opportunity to combine technical compliance expertise with people leadership, helping to strengthen our regulatory framework while developing and supporting a high-performing team.
Key Responsibilities
- Managing, coaching and developing a team of Compliance Analysts and Compliance Monitoring Officers.
- Setting team objectives and conducting regular performance reviews and check-ins.
- Delivering a robust programme of compliance monitoring and business controls.
- Identifying regulatory risks and implementing effective controls and mitigation strategies.
- Monitoring regulatory developments and assessing their impact on the business.
- Producing high-quality management information and reporting for senior stakeholders.
- Working closely with senior leaders and board members on regulatory and compliance matters.
- Supporting FCA notifications and regulatory interactions where required.
- Driving process improvements and system enhancements.
- Supporting operational teams with compliance guidance, training and best practice.
- Reviewing business data and monitoring trends to identify emerging risks and opportunities.
- Deputising for the Compliance Manager when required.
Skills, Knowledge and Expertise
- Level 4 Diploma in Financial Planning (or equivalent) and/or relevant investment qualifications.
- Experience working within a compliance, platform operations or regulatory environment.
- Previous people management experience, or proven experience deputising for a manager.
- Strong knowledge of FCA regulations and their practical application.
- Understanding of risk management, controls and compliance monitoring frameworks.
- Excellent analytical and problem-solving skills.
- Strong communication and stakeholder management abilities.
- Experience producing management information and regulatory reporting.
- Good working knowledge of Microsoft Office, particularly Excel.
- Experience of systems such as Fusion, Enable and SEI would be advantageous.
Benefits
- Leads by example and acts with integrity.
- Builds strong relationships across all levels of the business.
- Takes a pragmatic, risk-based approach to compliance.
- Can balance regulatory requirements with commercial realities.
- Motivates and develops others to achieve high standards.
- Champions positive customer outcomes and Treating Customers Fairly principles.
- Acts with due skill, care and diligence.
Benefits
- Leads by example and acts with integrity. Builds strong relationships across all levels of the business. Takes a pragmatic, risk-based approach to compliance. Can balance regulatory requirements with commercial realities. Motivates and develops others to achieve high standards. Champions positive customer outcomes and Treating Customers Fairly principles. Acts with due skill, care and diligence.
About this role
Benchmark Capital is seeking an experienced Compliance Team Manager to lead compliance oversight and monitoring within Fusion Wealth, a role that bridges technical regulatory expertise with people leadership. You'll manage a team of Compliance Analysts and Monitoring Officers, setting objectives, conducting performance reviews, and ensuring the team delivers robust monitoring programmes and business controls. The position involves identifying regulatory risks, implementing mitigation strategies, producing management information for senior stakeholders, and working closely with leadership on FCA interactions and regulatory matters.
This role suits someone with solid compliance experience in wealth management, platform operations, or financial services who has either managed a team or successfully deputised for a manager. You'll need strong knowledge of FCA regulations and their practical application, alongside analytical skills and the ability to produce regulatory reporting. Relevant qualifications such as a Level 4 Diploma in Financial Planning or investment qualifications are expected, and familiarity with systems like Fusion, Enable, or SEI is advantageous. The hybrid position in Horsham requires someone who can balance regulatory requirements with commercial realities, communicate effectively across all levels, and champion both compliance excellence and positive customer outcomes.
How this employer is doing
solid
- Recent Acquisition
- Recently Raised Funding
In the news
White & Case advises Söderberg & Partners on acquisition of Benchmark Capital, White & Case LLP
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Pay for this role
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