Succession Group is a nationwide wealth management advisory brand delivering rich and rewarding experiences for clients with bespoke solutions to achieve financial goals and we are looking for a committed and driven Regional Compliance Manager to join our Compliance team providing the highest level of service to our Planners as possible.
The purpose of the Regional Compliance Manager role is to contribute to the work of the Compliance department in delivering Succession Group’s adviser training, competence and development schemes across the group’s main authorised subsidiary businesses. The role holder will work with Financial Planners, Regional Development Directors and members of the Compliance department to ensure financial planners:
- provide the highest possible standards of advice and service to clients
- attain and maintain competence to perform the roles for which they are engaged
- understand and meet their regulatory responsibilities
- adhere to group policies and procedures
- promote the interests of the group
- adhere to and promote the group’s vision and values
The role holder will also contribute to the visibility of the compliance team at hub/regional level by being engaging effectively with colleagues on a day-to-day basis.
But, it’s not just about what you bring to us…
You will receive a competitive salary and benefits package including Death in Service, a Pension, a Share Option Scheme as well as opportunities for career progression to match your career aims and ambitions and financial support for relevant qualifications.
To be successful in the role you will need:
- To be qualified to Level 4 in a RDR qualification.
- Hold a relevant T&C qualification.
- Have a strong knowledge of platforms and products from a technical and regulatory perspective as well as the UK regulatory framework.
- 5 or more years experience in a Financial Services environment including 3 years in a T&C role at an IFA/ advisory business.
- An ability to work under minimal supervision, first class communication skills and a drive for sustained excellence and continued improvement.