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- Tasks: Enhance advice quality and support advisers in a dynamic wealth management environment.
- Company: Leading wealth management firm focused on quality and compliance.
- Benefits: Flexible home-based role with opportunities for professional growth.
- Other info: Join a collaborative team dedicated to excellence in financial advice.
- Why this job: Shape the future of adviser support while ensuring top-notch client outcomes.
- Qualifications: Experience in adviser supervision and a Level 4 Diploma in Regulated Financial Planning.
The predicted salary is between 60000 - 80000 £ per year.
Our client is a leading wealth management firm who are looking for an Advice Quality Manager to help strengthen advice quality, capability, and risk management across a growing adviser population. You’ll work closely with colleagues across compliance, adviser leadership, and learning functions to shape a strong development culture, balancing regulatory expectations with practical, real-world adviser support.
- Reviewing advice quality and providing clear, constructive feedback that helps advisers improve outcomes for clients
- Identifying development needs and translating insight into targeted coaching, training, and learning activity
- Monitoring adviser risk profiles and contributing to proportionate oversight approaches
- Contributing to management insight through reporting on themes, trends, and emerging risks
- Playing an active role in embedding good customer outcomes and regulatory expectations into day-to-day advice practices
Experience working in adviser supervision, competence, or development within an FCA-regulated environment.
Diploma Level 4 in Regulated Financial Planning (or equivalent).
Head of Quality and Regulatory Management employer: Clayton Davies
Contact Detail:
Clayton Davies Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Quality and Regulatory Management
✨Tip Number 1
Network like a pro! Reach out to people in the industry, especially those already working in quality and regulatory management. A friendly chat can lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and advice quality standards. We want you to showcase your expertise and how you can help improve adviser outcomes.
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your values and career goals. Check out our website for tailored opportunities that match your skills in advice quality and regulatory management.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can keep you top of mind and show your enthusiasm for the role. Plus, it’s a great chance to reiterate how you can contribute to their team.
We think you need these skills to ace Head of Quality and Regulatory Management
Some tips for your application 🫡
Tailor Your CV: Make sure your CV speaks directly to the role of Advice Quality Manager. Highlight your experience in adviser supervision and any relevant qualifications, like your Diploma Level 4 in Regulated Financial Planning. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re passionate about advice quality and how you can contribute to our team. Be sure to mention specific examples from your past that demonstrate your skills in coaching and training advisers.
Showcase Your Analytical Skills: Since monitoring adviser risk profiles is key, don’t forget to highlight your analytical abilities. Share examples of how you've identified trends or themes in previous roles and how you used that insight to improve outcomes. We love data-driven decision-making!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates. Plus, we love seeing applications come directly from our site!
How to prepare for a job interview at Clayton Davies
✨Know Your Stuff
Make sure you’re well-versed in the regulatory landscape and advice quality standards. Brush up on FCA regulations and be ready to discuss how they impact adviser practices. This shows you’re not just familiar with the theory but can apply it in real-world scenarios.
✨Showcase Your Coaching Skills
Prepare examples of how you've successfully coached or trained advisers in the past. Highlight specific instances where your feedback led to improved outcomes. This will demonstrate your ability to translate insights into actionable development plans.
✨Be Data Savvy
Familiarise yourself with reporting tools and data analysis techniques. Be prepared to discuss how you’ve used data to identify trends and emerging risks in adviser performance. This will show that you can contribute valuable insights to management.
✨Emphasise Collaboration
Since the role involves working closely with various teams, think of examples that showcase your collaborative spirit. Discuss how you’ve partnered with compliance, leadership, or learning functions to enhance adviser support and ensure regulatory compliance.