Compliance Manager

Hybrid working, aligned to your nearest Succession office location.

Salary negotiable dependent on experience + excellent benefits (see below)

Succession Wealth is one of the UK's leading independent financial planning and wealth management businesses, with a national network of Wealth Advisors and support teams providing holistic, independent wealth management and financial planning services.

As Succession grows under Aviva’s ownership, now is a fantastic time to join us as we enter an exciting new phase of development and growth.

We are currently seeking a Compliance Manager to support the Head of Regulatory Risk and Senior Compliance Manager in delivering high-quality advice and guidance across the business on regulatory and compliance matters.

The ideal candidate will be a highly credible and commercially aware compliance professional capable of quickly building confidence and working effectively with people at all levels and across all parts of the business.

With a background in financial services, preferably wealth management, you’ll be eager to make an immediate impact from day one and to grow further within the role, contributing to the long-term success of our expanding business.

Leveraging your strong communication and influencing skills, you’ll be confident engaging with and advising senior management and all internal stakeholders.

Key activities will include :

• Providing clear, accurate, and timely advice on regulatory matters, including the application of relevant requirements in the FCA Handbook.
• This will be a hands-on role in terms of daily activity :
• Recording, reviewing, and responding to compliance queries from across the business.
• Reviewing and signing off Financial Promotions.
• Supporting the collation of compliance MI and other data, with analysis and dissemination to relevant stakeholders.
• Completing and submitting FCA reports (e.g., RegData).
• Completing and submitting FCA Connect forms.
• Collating and submitting data for PI.
• Horizon scanning—keeping up to date with regulatory and industry developments and advising senior management on necessary preparatory actions.
• Supporting Risk & Compliance in key business projects.
• Ensuring compliance policies and procedures, including the Compliance Manual, are updated and maintained.
• Lending support to colleagues during compliance reviews or investigations.
• Assisting the Chief Risk Officer with responses to FCA or other regulatory requests and preparations for FCA meetings.
• Building strong working relationships and positive engagement with stakeholders across the business.

You :

We are looking for a proactive, credible, and resilient compliance professional with experience in wealth management or financial advisory.

You will also need :

What You Can Expect From Us :

Our Commitment to DE&I :

Succession is dedicated to fostering an inclusive and diverse culture. We value the unique contributions of all candidates and ensure fair and equitable recruitment practices.

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