Job Description
About the Role
We’re looking for an experienced Advice Quality Manager to lead and develop our Advice Quality function. This is a key leadership role responsible for ensuring all financial advice across the business is compliant, robust and aligned to FCA regulatory expectations and internal standards.
You’ll manage the File Checking team, oversee quality assurance activity and partner closely with the Head of Advisory Compliance to continually enhance advice standards and strengthen our risk-aware culture.
This is an excellent opportunity for a technically strong compliance professional who enjoys coaching advisers, improving processes and influencing positive change.
What You’ll Be Doing
Leadership & Team Management
* Lead, motivate and develop the File Checking team
* Promote a culture of quality, integrity and continuous improvement
Advice Quality & File Reviews
* Oversee end-to-end advice file checking across the business
* Conduct complex and escalated file reviews
* Provide clear, constructive feedback to advisers
Compliance & Governance
* Work with Advisory Compliance to ensure alignment with FCA regulation
* Maintain advice quality frameworks, policies and documentation
Stakeholder Engagement
* Act as a technical expert for advisers and paraplanners
* Deliver coaching and guidance to improve advice standards
Continuous Improvement
* Enhance processes, templates and adviser guidance
* Monitor regulatory developments and industry best practice
* Identify root causes of issues and implement solutions
What We’re Looking For
Experience
* Advice quality / file checking within an FCA regulated environment
* Compliance monitoring or QA experience in wealth management
* People management and coaching capability
* Strong technical knowledge of retail investment advice
Qualifications
* Diploma in Financial Planning Level 4 (essential)
* Additional technical or compliance qualifications (desirable)
* DBT related qualifications (desirable)