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For Companies At a Glance
- Tasks: Lead and develop the Advice Quality function, ensuring compliance and quality in financial advice.
- Company: Join a leading financial services firm committed to integrity and continuous improvement.
- Benefits: Competitive salary, professional development, and a supportive team environment.
- Why this job: Make a real impact by enhancing advice standards and coaching advisers.
- Qualifications: Experience in advice quality within FCA regulated environments and strong people management skills.
- Other info: Opportunity for career growth in a dynamic and compliance-focused culture.
The predicted salary is between 36000 - 60000 £ per year.
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 in 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)
Advice Quality Manager in York employer: MERJE
Contact Detail:
MERJE Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Advice Quality Manager in York
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. Attend industry events or webinars where you can meet potential employers and showcase your expertise in advice quality.
✨Tip Number 2
Prepare for interviews by brushing up on FCA regulations and advice quality standards. We recommend practising common interview questions related to compliance and file checking, so you can confidently demonstrate your knowledge.
✨Tip Number 3
Showcase your leadership skills! Be ready to discuss how you've motivated teams in the past and improved processes. Use specific examples that highlight your ability to influence positive change in a compliance environment.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Advice Quality Manager in York
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Advice Quality Manager role. Highlight your experience in advice quality and compliance, and don’t forget to showcase your leadership skills. We want to see how you’ve motivated teams and improved processes!
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 your background aligns with our needs. We love seeing candidates who can connect their experiences to the role directly.
Showcase Your Technical Knowledge: Since this role requires strong technical knowledge of retail investment advice, make sure to include relevant qualifications and experiences. We’re looking for someone who can demonstrate their understanding of FCA regulations and compliance standards.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It helps us keep track of your application and ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at MERJE
✨Know Your Compliance Inside Out
Make sure you brush up on FCA regulations and compliance standards relevant to the role. Being able to discuss these confidently will show that you’re not just familiar with the rules, but that you can apply them in practice.
✨Showcase Your Leadership Skills
Prepare examples of how you've successfully led teams or projects in the past. Highlight your ability to motivate and develop others, as this is crucial for the Advice Quality Manager role.
✨Be Ready for Technical Questions
Expect to be asked about your technical knowledge of retail investment advice. Review key concepts and be prepared to discuss how you’ve applied this knowledge in previous roles, especially in a compliance context.
✨Demonstrate Continuous Improvement Mindset
Think of specific instances where you’ve identified issues and implemented solutions. This will show your potential employer that you’re proactive about enhancing processes and driving positive change within a team.