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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.
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.
What You'll Do
1. Assist the Group Technical Compliance Manager with regulatory change horizon scanning.
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. Work closely with subject matter experts in compliance and the business to support detailed impact assessments of regulatory developments.
5. Assist with implementation of regulatory developments.
6. Providing timely and concise regulatory summaries and updates to stakeholders across the Benchmark Group.
7. Assessing the impact of both existing regulations and new regulatory developments.
8. Provision of accurate and timely expertise and advice to regulatory queries from the business.
9. Assist in projects to provide compliance analysis and review of new business initiatives.
10. Guide the assessment; development; and writing of new policies and procedures.
11. Support the establishment of robust control frameworks and processes.
12. Attend meetings and act as the regulatory compliance representation.
13. Liaise effectively with senior management and external stakeholders.
14. Attend industry events to identify emerging standards and trends.
15. Awareness-raising among Group employees regarding compliance risk.
16. Support Group Head of Risk & Compliance with FCA engagement.
17. Take on tasks and projects as delegated by the Group Technical Compliance Manager.
18. 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.
2. Good knowledge of investment / wealth management industry.
3. Well-developed regulatory compliance experience.
4. Good understanding of relevant regulatory rules (especially FCA).
5. General awareness of Financial Services and Markets Act 2000 (FSMA).
6. Good understanding of current and emerging regulatory compliance market trends.
7. Strong interpersonal and communication skills.
8. Competent with Microsoft Office programs.
What you'll be like
* Promoter of the Treating Customers Fairly (TCF) principles.
* Team player, who can be flexible.
* Ability to work unsupervised and manage own workload.
* Self-motivated; proactive; organised; and able to use initiative.
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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