Compliance Assistant

Founded in 2009, Succession Wealth is the fastest growing Wealth Planning brand in the UK with 600 employees and 170 advisors, we provide wealth management and financial planning services to individuals and corporate clients across the UK through our network of acquired firms. By operating our own open architecture platform, we have a fully integrated wealth management process.
From “start-up” in 2009, Succession Wealth is now one of the leading privately owned, independent financial planning and wealth management business’ in the UK.

Succession have an opportunity to join our team as a Compliance Assistant on a temporary basis to cover a period of maternity leave for 12 months. The purpose of this role is to contribute to the delivery of the Training and Competence scheme through maintenance of the central Learning and Development system .

The Compliance Assistant is responsible for working closely with T&C Supervisors and the Learning and Development team to manage the Learning Management System (Unicorn), ensuring that training records of all employees are kept up to date, assigning monthly training modules as required. They will also be the first point of contact for any user queries, ensuring they are resolved as efficiently as possible.

The role holder will need to build positive relationships based on professional, mutual respect and empathy, with key internal stakeholders, e.g. planners, paraplanners, admin, sales support and be able to communicate effectively at all levels. They will also be required to support the wider Risk and Compliance Team, generating MI reports and monitoring the Compliance Helpdesk inbox.

But, it’s not just about what you bring to us…

You will receive a competitive salary and benefits package including pension scheme, the opportunity for flexible working to ensure a greater work life balance, access to our Employee Assistance Programme, enhanced maternity and paternity benefit, Death in Service Benefit and contributions towards relevant exams. In addition, we offer opportunities for career progression to match your career aims and ambitions.

To be successful in the role you will need:

• Appropriate Level 4 qualification is desirable
• Knowledge of the UK regulatory system, is desirable
• Previous experience in a Training & Competence environment is desirable
• 1 + years’ experience in a compliance environment is desirable
• 1 + years’ experience in an administration type role is essential
• Good relationship-building skills
• Able to self-manage and work under own initiative
• Ability to demonstrate Succession’s core values: Client Focus, Long term and Sustainable, Integrity, Efficiency, Nimble and Team Working

Should you wish to discuss this opportunity, please contact Charlotte Evans on or call 01752 968498

Click here to complete an online application form