Compliance Monitoring Manager Internal

Hybrid from any of Succession’s UK locations

Highly competitive Basic salary + excellent benefits package

Succession Wealth are one of the UK’s leading Financial Advisory firms and a wholly owned subsidiary of Aviva. Our Wealth Advisors and support teams provide a high quality, holistic financial advice service, helping clients from all walks of life to achieve their financial goals.

Now is an exciting and transformative time for us here at Succession as we prepare our business for a phase of planned strategic growth. All across Succession our teams are working on projects to transform processes and put in place structures that will support our growth strategy.

The Opportunity…

We’re looking for a highly skilled Compliance Monitoring Manager to join our Risk and Compliance function and play a key role in delivering high‑quality, risk‑based compliance monitoring across the business.

In this pivotal role, you will provide independent assurance that the organisation is operating within regulatory requirements, internal policies, and expected standards of conduct. You’ll plan and conduct detailed monitoring reviews, analyse findings, produce clear and insightful reports, and work closely with stakeholders to drive meaningful improvements.

If you’re analytical, confident engaging at all levels, and passionate about promoting a strong compliance culture, this is an excellent opportunity to make a real impact in a fast‑moving and highly regulated environment.

What you’ll be doing…

• Conducting risk‑based monitoring reviews in line with the annual Compliance Monitoring Plan.
• Leading recurring reviews as part of the regular schedule of assurance activity.
• Developing detailed scopes, test plans, and workpapers aligned to regulatory expectations and business risks.
• Performing structured, evidence‑based testing with a clear audit trail.
• Identifying regulatory, conduct, operational or policy breaches, assessing their impact and significance.

• Producing high‑quality, clear and concise monitoring reports.
• Presenting findings to management, ensuring actions and risks are fully understood.
• Tracking and following up on remediation actions to ensure timely and effective completion.
• Supporting MI production and contribute to reporting for governance forums.

• Building effective working relationships across the business, including senior stakeholders.
• Communicating expectations clearly and maintain professional dialogue with stakeholders.
• Acting as a trusted adviser and champion of good compliance practice.

You…

• Experience in compliance monitoring, internal audit, or similar assurance roles.
• Strong working knowledge of the FCA regulatory framework.
• In‑depth understanding of compliance monitoring methodologies, including risk‑based approaches and testing techniques.
• Skilled in report writing, with the ability to articulate complex findings clearly.
• Strong analytical and investigative mindset.
• Confident communicator able to challenge constructively and engage at all levels.

• Resilient, adaptable, and comfortable working under pressure.

What You Can Expect From Us

A competitive basic salary, annual pay reviews and performance linked increases as well as:

• 25 days Annual leave increasing with service, plus bank holidays and additional days for Christmas closure
• Excellent company pension scheme with a generous employer contribution
• Agile and family friendly working arrangements to allow for a great work/life balance
• Company sick pay
• Enhanced maternity, paternity and adoption pay
• Up to 40% discount on Aviva Insurance & Investment products
• £450 towards the purchase of home office equipment
• Group Life Assurance Scheme: 8 x salary
• Access to our Benefit Hub; discounts on shopping, dining out, holidays and lots more
• A range of health benefits including eye care vouchers, flu vaccinations, Annual Health Screening, Digital GP, Mental health and Nutrition Sessions and Employee Assistance Programme
• Voluntary flexible benefits platform including Private Medical Insurance, Medical Cash Plan, Dental Insurance, Critical Illness and Health Screening
• Charity Days
• Company Events

Support in achieving your career goals

• Sponsorship for relevant professional exams and study leave
• Access to funded apprenticeships in a range of topics, such as leadership & management
• Access to Insights Discovery, a psychometric tool, which helps individuals and teams to connect better, overcome challenges & conflict resulting in high performing teams
• Clear career pathways and internal job opportunities
• Access to a range of free courses via our Learning Management system

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