Compliance Manager

Succession Wealth; United Kingdom; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

A leading financial planning firm seeks a Compliance Manager to support regulatory compliance efforts. The role involves advising on regulatory matters, managing compliance policies, and engaging with senior management. Candidates must have significant experience in financial services and strong analytical skills.

Benefits

25 days annual leave plus bank holidays

Generous employer pension contributions

Flexible working arrangements

Up to 40% discount on Aviva products

Support for professional development

Qualifications

• 3-5 years experience within financial services.
• Experience in financial services compliance role.
• Excellent knowledge of the UK regulatory system.

Responsibilities

• Provide accurate advice on regulatory matters.
• Review and sign-off Financial Promotions.
• Keep up to date with regulatory changes.

Skills

Analytical Skills

Communication

Resilience

Job description

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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, developing and flourishing 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, 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 one and grow further within the role, contributing to our long-term success.

Leveraging your strong communication and influencing skills, you’ll confidently engage with and advise senior management and internal stakeholders.

Key activities will include:

1. Providing clear, accurate, and timely advice on regulatory matters, including the application of relevant requirements in the FCA Handbook.
2. This will be a hands-on role involving daily activities such as recording, reviewing, and responding to compliance queries; reviewing & sign-off of Financial Promotions; supporting the collation of compliance MI and data analysis; and FCA reporting and applications.
3. Horizon scanning—keeping up to date with regulatory and industry changes and advising senior management on preparatory actions.
4. Supporting Risk & Compliance in key business projects.
5. Ensuring compliance policies and procedures, including the Compliance Manual, are updated and maintained.
6. Lending support to colleagues with compliance reviews or investigations.
7. Assisting the Chief Risk Officer with FCA or other information requests and preparations for FCA meetings.
8. Building strong relationships and positive engagement with stakeholders across the business.

You:

We seek a proactive, credible, and resilient compliance professional with experience in wealth management or financial advisory sectors.

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, especially relevant advisory regulations
• Experience reviewing and signing off Financial Promotions
• Experience with FCA reporting (e.g., RegData) and Connect forms
• Data collation and submission for PI
• Exceptional technical and analytical skills for data & MI
• Ability to build confidence and work well across all levels of the business
• Adaptability to work across multiple compliance areas in a fast-paced environment

What You Can Expect From Us:

• A competitive salary, annual reviews, performance-based increases, and excellent benefits including:
• 25 days annual leave plus bank holidays and additional days for Christmas closure
• Generous employer pension contributions
• Flexible, family-friendly working arrangements
• Company sick pay, Group Income Protection, enhanced maternity/paternity/adoption pay
• Up to 40% discount on Aviva products
• £465 towards home office equipment
• Group Life Assurance: 8x salary
• Access to various discounts and health benefits
• Support for professional development and exams

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.