Senior Advice Quality Lead – Compliance & Process Improvement

AnaVation LLC; Harrogate; Hybrid; GBP 60,000 - GBP 80,000; Full time

Job summary

A wealth management firm is seeking an Advice Quality Manager to lead its Advice Quality function, ensuring compliance and high standards of financial advice. You will manage the File Checking team, oversee quality assurance processes, and work closely with compliance leaders. A diploma in Financial Planning and experience in advice quality checking are essential. This role offers a dynamic work environment, hybrid working, and a range of benefits including a generous pension scheme and annual leave.

Benefits

Competitive salary

Attractive Employee Pension Scheme

25 days Annual Leave + public holidays

Office Christmas closure

Private medical insurance

Further education and training support

Discretionary performance-related bonus

Employee Assistance Programme

Qualifications

• Experience in advice quality checking is essential.
• Strong people management skills required.
• Understanding of compliance monitoring necessary.

Responsibilities

• Lead the File Checking team and ensure high performance.
• Oversee the file checking process to meet FCA standards.
• Build relationships with advisers and provide guidance.

Skills

Advice quality checking

People Management

Compliance monitoring

Quality Assurance in FCA regulated firms

Education

Diploma in Financial Planning (Level 4) or equivalent

DBT specific qualifications

ICA diploma

Job description

A wealth management firm is seeking an Advice Quality Manager to lead its Advice Quality function, ensuring compliance and high standards of financial advice. You will manage the File Checking team, oversee quality assurance processes, and work closely with compliance leaders. A diploma in Financial Planning and experience in advice quality checking are essential. This role offers a dynamic work environment, hybrid working, and a range of benefits including a generous pension scheme and annual leave.