Chief Compliance Officer

1 month ago


Leeds, Leeds, United Kingdom Successionwealth Full time
Job Title: Chief Compliance Officer

Succession Wealth is seeking a highly skilled and experienced Chief Compliance Officer to join our team. As a key member of our leadership team, you will be responsible for establishing and maintaining our compliance monitoring methodologies and plans, ensuring compliance monitoring reviews are undertaken in accordance with those plans.

Key Responsibilities:
  • Develop appropriate Compliance Monitoring methodologies, procedures, and templates
  • Prepare the annual risk-based Compliance Monitoring plan and present it to the Executive Committee and the Board as required
  • Undertake monitoring reviews in accordance with the plan, ensuring timely delivery, and preparing clear and concise reports highlighting key findings
  • Establish collaborative working relationships with Executive Committee members and other colleagues across the business to ensure the effective conduct of reviews
  • Clearly communicate findings and work with colleagues to agree actions to mitigate or avoid risks outside the Group's risk appetite
  • Lead a team of 1-2 Compliance Monitoring Managers, helping them to develop in their roles and ensuring the quality and timeliness of delivery
Requirements:
  • Experience gained within a Compliance Monitoring role within the wealth management industry
  • Experience of managing other staff and of developing and implementing a compliance monitoring plan
  • Strong interpersonal skills and skilled at communicating assurance, compliance, and regulatory concepts and issues clearly and succinctly to key stakeholders, both verbally and in writing
  • Excellent report writing skills, including the ability to be clear and concise in distilling and articulating findings and recommendations from monitoring and assurance reviews
What We Offer:
  • A highly competitive basic salary, annual pay reviews, and performance-linked increases
  • A fantastic range of benefits, including 25 days' annual leave, excellent company pension scheme, agile and family-friendly working arrangements, company sick pay, enhanced maternity, paternity, and adoption pay, and access to the Benefit Hub
  • A range of health benefits, including eye care vouchers, flu vaccinations, annual health screening, digital GP, mental health, and nutrition sessions, and employee assistance program
  • Voluntary flexible benefits platform, including private medical insurance, medical cash plan, dental insurance, critical illness, and health screening
  • Company events and a commitment to building and preserving a culture of inclusion and diversity


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