Quality Assurance Officer

Succession Wealth is a nationwide wealth management advisory brand delivering rich and rewarding experiences for clients with bespoke solutions to achieve financial goals. As part of Successions growth we now require a passionate and dedicated Quality Assurance Officer to join our Compliance Team.

The purpose of this role is to contribute to the work of the Compliance Department in delivering SGL’s advice standards and ensure that FCA expectations are met across authorised subsidiary businesses. Work with financial planners, paraplanners and colleagues within the compliance function to ensure financial planners provide the highest possible standards of advice and service to clients, understand and meet their regulatory responsibilities and adhere to group policies and procedures. This role is central to the delivery of positive outcomes to clients.

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, Death in Service Benefit and contributions towards any 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:
• Proven experience of performing a Quality role in a retail intermediary business
• Excellent knowledge of the UK regulatory system, particularly those aspects relevant to advisory businesses, e.g. TCF, RDR and Mortgage Market Review
• Good knowledge of platforms and products from a technical as well as regulatory perspective
• QCF Level 4 qualification with desire/ambition to attain Chartered Financial Planner status or equivalent
• First class communication skills
• Ability to work under own initiative
• Business awareness
• Coaching and development
• Familiar with industry back office systems, testing systems etc
• Proficient in Microsoft Office products (Word, Excel etc)
• Understand the importance of good team work and good customer service
• High level of integrity
• Be Efficient
• 5+ years financial services experience
• The ability to demonstrate behaviours in line with Succession’s Visions and Values:
Client Focus, Long term and Sustainable, Integrity, efficiency, nimble and Team Work


To discuss this opportunity, please call Charlotte Evans on
01752 968498 or email Charlotte.Evans@successionwwealth.co.uk

Or click here to complete an online application form