About Benchmark
Our award-winning, proprietary solutions cover regulatory, platform and investment services, and are designed to support advisers at every step of their journey – from starting and running a financial advice business more productively and effectively, to accelerating its growth and realising its value. We support high quality financial advisers with our award-winning technology and support services.
Ensuring good client outcomes, with the client's interests central to decision making, is very important at Benchmark. Treating Customers Fairly principles are embedded within our organisation and we take responsibility for embracing and promoting our duty of care to all clients, including those who may be more vulnerable than others.
The base
You'll be based at home or our Broadlands Business Campus near Horsham in West Sussex. Our spacious campus facilities mean there's a great working environment for the team. With an on-site restaurant, coffee shop and gym, our campus has much to offer. Commuters can relax on our dedicated regular shuttle bus to and from Horsham's main line train station.
Who we're looking for
The Regulatory Compliance Consultant's role reports to the Group Technical Compliance Manager, with responsibility for supporting the regulatory change and compliance advisory aspects of the Compliance Technical function. The role holder's primary responsibility is to assess and help operationalise regulatory requirements, both existing and new. You will provide practical insight, and assist decision makers within the Benchmark Capital Group to ensure compliance with all relevant regulations, with specific focus on Financial Conduct Authority (FCA) outputs.
The role will be responsible for providing analysis; assessment; and documentation for regulatory initiatives of all sizes, following output from horizon-scanning activity.
You will also support projects and corporate initiatives, and must have experience solving regulatory compliance issues, bringing specialised perspectives, and be comfortable (when required) to lead regulatory projects.
The successful candidate will have a strong understanding of the impact of regulatory initiatives on the financial services (FS) industry and impacting business functions.
What You'll Do
1. Assist the Group Technical Compliance Manager with regulatory change horizon scanning, to identify and diagnose material regulatory developments impacting all aspects of the Benchmark Capital business.
2. Support the Technical Compliance Manager to track, record, and communicate FCA and other bodies' regulatory outputs.
3. Provide regulatory analysis and document requirements for regulatory initiatives.
4. Working closely with subject matter experts in compliance and the business to support detailed impact assessment of regulatory developments.
5. Interact with all relevant business functions, and develop an understanding of each impacted area to advise on potential appropriate solutions.
6. Assist with implementation of regulatory developments, working collaboratively with the business and compliance functions.
7. Providing timely and concise regulatory summaries and updates to stakeholders across the Benchmark Group.
8. Assessing the impact of both existing regulations and new regulatory developments.
9. Provision of accurate and timely expertise and advice to regulatory queries from the business.
10. Assist in projects to provide compliance analysis and review of new business initiatives.
11. Guide the assessment; development; and writing of new policies and procedures.
12. Supporting the establishment of robust control frameworks and processes.
13. Attend meetings and act as the regulatory compliance representation.
14. Liaise effectively with senior management and external stakeholders.
15. Attend industry events to identify emerging standards and trends.
16. Awareness-raising among Group employees regarding compliance risk.
17. Support Group Head of Risk & Compliance with FCA engagement.
18. Ensure that the Group Technical Compliance Manager and Group Head of Risk & Compliance is made aware of any issues which the Regulatory Compliance Consultant deems material.
19. Maintain up to date Continuous Professional Development (CPD) records.
The Knowledge, Experience and Qualifications You Need
1. 3+ years' experience within a FS Compliance function, ideally within an advisory/support role in the wealth/investment management industry.
2. Good knowledge of investment/wealth management industry, including pensions and platforms.
3. Well-developed regulatory compliance experience, and ability to operationalise regulatory change.
4. Good understanding of relevant regulatory rules (especially FCA) and their interpretation/application.
5. General awareness of Financial Services and Markets Act 2000 (FSMA) and other related legislation.
6. Good understanding of current and emerging regulatory compliance market trends.
7. Strong interpersonal and communication skills (written and spoken).
8. Ability to communicate the impact of regulatory developments to a range of senior internal and external partners.
9. Highly developed investigative; analytical; and observational skills.
10. Competent with Microsoft Office programs, including data analysis/manipulation in MS Excel.
What you'll be like
1. Promoter of the Treating Customers Fairly (TCF) principles.
2. Team player, who can be flexible.
3. Ability to work unsupervised and manage own workload.
4. Self-motivated; proactive; organised; and able to use initiative.
5. Excellent attention to detail.
6. Inquisitive, curious, and analytical mind.
7. Sound and independent judgement.
8. Proactively looks for improvements, and follows through on ideas.
9. The desire to keep up to date with regulatory, business and industry updates.
We're looking for the best, whoever they are
Benchmark is an equal opportunities employer. You're welcome here whatever your socio-economic background, race, sex, gender identity, sexual orientation, religious belief, age or disability.
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