Head of Assurance & Control – Wealth Management

Successionwealth; Birmingham; On-site; 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

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