At a Glance
- Tasks: Lead assurance and control initiatives to enhance risk management and client outcomes.
- Company: Join Succession Wealth, a top independent financial planning firm in the UK.
- Benefits: Enjoy competitive salary, generous leave, private medical insurance, and flexible working arrangements.
- Other info: Be part of a diverse team committed to inclusion and exceptional client service.
- Why this job: Make a real impact in a high-stakes role within a supportive and collaborative culture.
- Qualifications: Extensive experience in wealth management or private banking with strong risk and assurance skills.
The predicted salary is between 75000 - 100000 £ per year.
Hybrid from any of our UK offices. Succession Wealth, part of the Aviva Group, is one of the UK’s leading independent financial planning and wealth management organisations. With around 1,000 colleagues across the UK, we support individuals, families and businesses in building long‑term confidence in their financial wellbeing. As an FCA‑regulated firm, we’re united by a shared commitment to integrity, collaboration and exceptional client service. Our people are central to everything we do – working together to deliver trusted advice, positive client outcomes and a supportive, high‑performing culture.
The role… We are looking for an experienced and credible individual to join our leadership team as Director of Assurance & Control. Reporting to the Chief Operating Officer, this is a high‑impact role with responsibility for strengthening first line risk ownership, control effectiveness and assurance activity across the business. You will play a key role in helping us deliver strong client outcomes, embed a proactive risk culture, and ensure our operational controls remain robust, effective and aligned to regulatory requirements.
Key responsibilities will include:
- Leading and developing the Assurance & Control capability across the organisation.
- Embedding a consistent first line approach to risk ownership, control design, assurance activity and risk event management.
- Overseeing assurance activity across advice quality, suitability, client outcomes, operational controls and thematic reviews.
- Providing meaningful management information and assurance reporting to support executive and governance decision‑making.
- Partner closely with senior stakeholders across Operations, Risk, Compliance, Internal Audit, Transformation and Commercial functions.
- Support senior leaders and SMF holders in demonstrating reasonable steps and meeting regulatory expectations.
- Drive a strong, risk‑aware culture through coaching, challenge and continuous improvement.
What you’ll bring… You will bring deep experience from wealth management or private banking, with a strong background in operational risk, controls or assurance leadership. You will be confident operating at senior level, able to influence constructively, challenge effectively and build trusted relationships across a complex regulated environment.
- Extensive experience in wealth management, private banking or a similarly regulated financial services environment.
- Strong understanding of FCA expectations, including Consumer Duty and SM&CR.
- Experience leading first line assurance, controls or risk activity within an enterprise framework.
- Excellent communication, stakeholder management and influencing skills.
- A collaborative leadership style with high integrity, sound judgement and a continuous improvement mindset.
- Experience in suitability or advice quality frameworks and relevant professional qualifications would be advantageous.
What you can expect from us… A competitive 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.
- Private Medical Insurance for yourself and partner.
- Agile and family friendly working arrangements to allow for a great work/life balance.
- Company sick pay.
- 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.
- Charity Days.
Succession is committed to building and preserving a culture of inclusion and diversity. With a diverse team of employees we are able to grow, innovate and deliver excellent client care to help us reach our goals as a business. 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 recruitment practice.
Director of Assurance and Control employer: Successionwealth
At Succession Wealth, we pride ourselves on being an exceptional employer, offering a supportive and high-performing culture that prioritises integrity and collaboration. Our commitment to employee growth is evident through extensive benefits, including competitive salaries, generous annual leave, and a range of health and wellness initiatives, all designed to foster a healthy work-life balance. With a focus on diversity and inclusion, we empower our team members to thrive in their careers while making a meaningful impact in the financial wellbeing of our clients.
StudySmarter Expert Advice🤫
We think this is how you could land Director of Assurance and Control
✨Tip Number 1
Network like a pro! Reach out to your connections in the wealth management and financial services sectors. Attend industry events or webinars, and don’t be shy about introducing yourself to key players. You never know who might have the inside scoop on job openings!
✨Tip Number 2
Prepare for those interviews by researching Succession Wealth thoroughly. Understand their values, culture, and recent developments. This will help you tailor your responses and show that you’re genuinely interested in being part of their team.
✨Tip Number 3
Practice your pitch! Be ready to articulate your experience in operational risk and assurance clearly. Highlight how your background aligns with the role of Director of Assurance & Control and how you can contribute to their mission of delivering strong client outcomes.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, it shows you’re serious about joining the team at Succession Wealth. Let’s get you that interview!
We think you need these skills to ace Director of Assurance and Control
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience in wealth management and operational risk. We want to see how your background aligns with the key responsibilities of the Director of Assurance and Control role.
Showcase Your Leadership Skills:Since this is a senior position, it's crucial to demonstrate your leadership style and how you've influenced teams in the past. Share specific examples of how you've built trusted relationships and driven a risk-aware culture.
Be Clear and Concise:When writing your application, keep it straightforward and to the point. Use clear language to convey your achievements and experiences, making it easy for us to see why you’re the right fit for the role.
Apply Through Our Website:We encourage you to submit your application through our website. This ensures that your application goes directly to our recruitment team, giving you the best chance of being considered for this exciting opportunity.
How to prepare for a job interview at Successionwealth
✨Know Your Stuff
Make sure you brush up on your knowledge of operational risk, controls, and assurance leadership. Familiarise yourself with FCA expectations, especially around Consumer Duty and SM&CR. This will not only help you answer questions confidently but also show that you're serious about the role.
✨Showcase Your Leadership Style
Be ready to discuss your collaborative leadership style and how you've influenced teams in the past. Prepare examples that highlight your integrity, sound judgement, and ability to drive a risk-aware culture. This is key for a high-impact role like Director of Assurance & Control.
✨Engage with Stakeholders
Think about how you can partner with senior stakeholders across various functions. Be prepared to share your strategies for building trusted relationships and how you’ve successfully managed stakeholder expectations in previous roles. This will demonstrate your ability to navigate a complex regulated environment.
✨Ask Insightful Questions
Prepare thoughtful questions that reflect your understanding of the company’s goals and challenges. Inquire about their approach to embedding a proactive risk culture or how they measure success in assurance activities. This shows your genuine interest in the role and helps you assess if it’s the right fit for you.
