Director of Assurance and Control

Successionwealth; Birmingham; Hybrid; GBP 120,000 - 180,000; Full time

Job summary

Successionwealth seeks an experienced Director of Assurance & Control to join the leadership team. Based in the UK, the role is hybrid with access to any UK office and reports to the Chief Operating Officer.

You will strengthen first line risk ownership, control design and assurance activities to protect client outcomes. You will partner with Operations, Risk, Compliance, Internal Audit and Transformation, driving a proactive risk culture and robust operational controls that meet regulatory

Qualifications

• 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.

Responsibilities

• 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.

Skills

Wealth management

Operational risk

Stakeholder management

Influencing

Leadership

Education

Professional risk/controls qualification

Job description

Director of Assurance and Control - Internal applications only

Hybrid from any of our UK offices

Closing date: Friday 25th September 2026

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.