Head of Compliance Operations
Succession Group is a nationwide wealth management advisory brand delivering rich and rewarding experiences for clients with bespoke solutions to achieve financial goals. As part of Successions growth we now require a passionate and dedicated Head of Compliance Operations to join our Compliance Team.
The purpose of this role is to support the Group Compliance Director in the:-
- Ensuring SGL;s T&C Framework supports the business in meeting regulatory expectations and achieving highest possible standards
- setting, implementation and review advice standards to be followed by planners in SGL’s advisory business
- monitoring on business written by SGL Planners
- Ensuring any shortfalls in standards across area of responsibility are addressed in a timely manner
- Oversight and supervison of T&C delivery by the regional Development Directors
But it’s not just what you can bring to us….
You will receive a competitive salary and benefits package including Death in Service, child care voucher scheme membership as well as opportunities for career progression to match your career aims and ambitions and future share incentive schemes.
To be successful you will need….
- Qualified to Level 4 in a RDR qualification, e.g. Diploma in Regulated Financial Planning
- Relevant T&C qualification, e.g. JO7 (Supervision in a Regulated Environment)
- Strong knowledge of the UK regulatory framework and the FCA Handbook
- Demonstrable knowledge and understanding of audit principles and techniques
- 5 yrs or more in a financial services environment
- 3 yrs of more in a T&C management/leadership role
- Compliance auditing and monitoring experience in an IFA/financial planning environment
- Ability to work under minimal supervision
- Strong technical and analytical skills
- Ability to plan and deliver a schedule of work to agreed timescales
- Drive for sustained excellence and continued improvement
- Works proactively while recognising boundaries of authority and responsibility
- Strong written and oral communication skills. Able to recognise needs of a particular audience and tailor approach accordingly.
To discuss this role further, please contact Charlotte Evans, HR Administrator on 01752 968500
Or click here to complete an online application form