Compliance Manager

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This range is provided by Succession Wealth. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

Direct message the job poster from Succession Wealth

Hybrid working, aligned to your nearest Succession office location.

Between £50k-£60k pa dependent on experience + excellent benefits (see below)

Succession Wealth is one of the UK\’s leading, independent financial planning and wealth management business’ 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 which will see our business develop and flourish even further.

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 who is able to quickly build confidence and work well 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 1 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 that come into the team from across the business
• Reviewing & sign-off of Financial Promotions
• Support in the collation of compliance MI and other data with analysis and dissemination to relevant stakeholders
• Completion and submission of FCA reporting (e.g. RegData)
• Completion and submission of FCA applications on Connect
• Collation and submission of data for PI
• Horizon Scanning – Keeping up to date with regulatory and industry and advising senior management on any preparatory actions needed.
• Supporting Risk & Compliance in key business projects.
• Ensuring appropriate compliance policies and procedures and the Compliance Manual are updated and maintained.
• Lending support to colleagues with compliance reviews or investigations.
• Assisting the Chief Risk Officer in responding to FCA or other information requests and with preparations for FCA meetings.
• Building strong working relationships and positive engagement with all stakeholders across the business.

You:

We are looking for a proactive, highly credible and resilient compliance professional with experience gained within wealth management / financial advisory.

You will also need:

• At least 3-5 years’ experience within financial services
• At least 3 years’ experience in a broad financial services compliance role
• Excellent knowledge of the UK regulatory system in general, particularly those aspects relevant to advisory businesses.
• Knowledge and experience of reviewing & sign-off of Financial Promotions
• Knowledge and experience of the completion and submission of FCA reporting (e.g. RegData)
• Knowledge and experience of the completion and submission of FCA Connect forms
• Collation and submission of data for PI
• Exceptional technical and analytical skills of data & MI
• Able to quickly build confidence and work well with people at all levels and across all parts of the business
• Adaptable and able to work competently across a number of areas of compliance with minimal direction and supervision in a fast paced and demanding environment

What You Can Expect From Us:

• A competitive basic salary, annual pay reviews and performance linked increases as well as a fantastic range of benefits including:
• 25 days Annual leave rapidly increasing with service, plus bank holidays and additional days for Christmas closure.
• Excellent company pension scheme with a generous employer contribution.
• Agile and family friendly working arrangements to allow for a great work/life balance.
• Company sick pay.
• Group Income Protection.
• Enhanced maternity, paternity and adoption pay.
• Up to 40% discount on Aviva Insurance & Investment products.
• £465 towards the purchase of home office equipment.
• Group Life Assurance Scheme: 8 x salary.
• Access to the Benefit Hub; discounts on shopping, dining out, holidays and lots more!
• A range of health benefits including eye care vouchers, flu vaccinations, Annual Health Screening, Digital GP, Mental health and Nutrition Sessions and Employee Assistance Programme.
• Voluntary flexible benefits platform including Private Medical Insurance, Medical Cash Plan, Dental Insurance, Critical Illness and Health Screening.
• Support with cost of professional exams /study days.

Our Commitment to DE&I

Succession is committed to building and preserving a culture of inclusion and diversity. Our diverse teams help us reflect and understand the communities in which we operate and the subjects we cover in our everyday work. In recruiting for Succession, we welcome the unique contributions all candidates can bring regardless of their background and strive to ensure that every candidate is given the best chance of success through fair and equitable recruitment practice.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

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