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Highly competitive salary + excellent benefits (see below)
We are Succession Wealth, from “start-up” in 2009, we are now one of the leading independent financial planning and wealth management business’ in the UK and part of the Aviva Group. We have over 900 employees and 200 Wealth Planners who provide wealth management and financial planning services to individuals and corporate clients across the UK via our network of offices.
As a result of our rapid expansion Succession have an exciting opportunity within our Business Quality team. This is a fantastic opportunity for someone looking to step into a Quality & Compliance role, or someone with experience of file reviewing looking to join a rapidly-expanding company with an excellent work culture and progression opportunities.
The role:
As part of the Risk & Compliance team, the primary purpose of the role will be to undertake file reviews to ensure that Succession Wealth is providing the highest standards of advice and great outcomes for our clients. This is achieved by ensuring everything we do is in line with internal policies and FCA requirements.
On a day to day basis you can expect to be:
* Providing quality assurance over the advice given by Succession planners.
* Supporting our Planners in improving the quality of evidence and advice provided.
* Carrying out pre and post-sale file reviews to ensure the advice is suitable for the client and evidenced to the appropriate standard.
* Communicating any required remedial work to Planners and raising any training needs to the T&C Team and Head of Business Quality.
* Assisting with thematic reviews and due diligence projects, as well as the development of the Group’s Risk & Compliance Policy.
* Working alongside the Business Quality and the wider Risk & Compliance Team, as well as our teams of Wealth Planners and Paraplanners.
* Promoting the Group’s Risk & Compliance culture, policies and procedures, as well as assisting in projects and process enhancement work when required.
To be successful in the role you will need:
* Proven experience of performing a Business Quality/File Reviewing role.
* Qualified with a Level 4 Diploma in Financial Services, ideally Chartered but not essential.
* Excellent knowledge of the UK regulatory system, especially areas relevant to advisory businesses.
* Technical Knowledge of Tax Driven Products and experience checking these areas.
* Experience of handling files relevant to a specialist area such as Defined Benefit, Equity Release or Long Term Care highly desirable.
* Good literacy and numeracy skills with a high degree of accuracy
* Excellent interpersonal and organisational skills
* Working knowledge of Microsoft Word and Excel packages essential
* The ability to demonstrate behaviours in line with Succession’s Visions and Values: Client Focus, Long term and Sustainable, Integrity, efficiency, nimble and Teamwork.
What We Offer:
In return, you can expect a competitive salary, annual pay reviews, and performance-linked increases, as well as an attractive range of benefits, including:
* 25 days annual leave (increasing with service), plus bank holidays and additional days for Christmas closure.
* A generous company pension scheme with a significant employer contribution.
* Flexible, family-friendly working arrangements to promote work-life balance.
* Company sick pay.
* Enhanced maternity, paternity, and adoption pay.
* Up to 40% discount on Aviva Insurance & Investment products.
* £465 towards home office equipment.
* Group Life Assurance Scheme (8x salary).
* Access to a Benefit Hub with discounts on shopping, dining, holidays, and more.
* Health benefits such as eye care vouchers, flu vaccinations, Annual Health Screening, Digital GP services, Mental Health and Nutrition sessions, and an Employee Assistance Programme.
* Voluntary benefits including Private Medical Insurance, Medical Cash Plan, Dental Insurance, Critical Illness Cover, and Health Screening.
* Support for professional exams and study days.
* Charity Days.
* Company events.
Our Wellbeing Committee is dedicated to supporting our colleagues in all aspects of their wellbeing, with offerings including:
* Employee Assistance Programme with 24/7 support.
* Access to mental health first aiders.
* Parental and compassionate leave.
* Wellbeing Library and Hub.
* Aviva DigiCare and Workplace.
* Bereavement Helpline.
We are committed to supporting your career development, offering:
* Sponsorship for relevant professional exams and study leave.
* Funded apprenticeships in areas like business administration, leadership & management, and accounting & finance.
* Access to Insights Discovery, a psychometric tool to improve team dynamics and performance.
* Clear career progression pathways and internal job opportunities.
* A vast selection of free courses through our Learning Management System.
Our Commitment to DE&I
Succession is committed to building and preserving a culture of inclusion and diversity. With a diverse team of employees, we are able to grow, innovate and deliver excellent client care to help us reach our goals as a business. Our diverse teams help us reflect and understand the communities in which we operate and the subjects we cover in our everyday work. In recruiting for Succession, we welcome the unique contributions all candidates can bring regardless of their background and strive to ensure that every candidate is given the best chance of success through fair and equitable recruitment practice.
We do not accept unsolicited cv submissions from agencies, any such will be accepted as a direct application from the candidate.
Seniority level
* Seniority level
Mid-Senior level
Employment type
* Employment type
Full-time
Job function
* Job function
Finance
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