Advice Quality Manager in Harrogate

Titan Wealth is a fast‑growing wealth management business, both in the UK and internationally. It has evolved a fairer, more efficient and effective business model, structured to deliver leading advice‑led wealth management services, giving financial advisers and their clients the best opportunity to fulfil their dreams and ambitions. We provide a dynamic work environment full of opportunity, one where both individual and team initiative and contribution is encouraged, so that together we can deliver better outcomes for our clients over the long term.

The Advice Quality Manager will lead Titan Wealth Planning’s Advice Quality function, with primary responsibility for ensuring that all financial advice provided across the business is compliant, high‑quality and aligned to regulatory and internal standards. This role will manage the File Checking team, oversee quality assurance processes and work closely with the Head of Compliance (Wealth) to maintain and elevate TWP’s advice standards. They will act as a key point of expertise in advice quality, offering guidance to advisers, supporting continuous improvement and contributing to a strong compliance and risk‑aware culture.

• Leadership & Management
  • Lead, motivate, and develop the File Checking team, ensuring high performance, strong collaboration and professional development.
  • Manage workload distribution within the team and ensure timely, accurate completion of file checks.
  • Foster a culture of quality, integrity, and continuous improvement.
• Advice Quality & File Checking
  • Oversee the end‑to‑end file checking process, ensuring client files and recommendations meet FCA regulatory standards and internal compliance requirements.
  • Conduct complex or escalated file reviews and provide constructive feedback to financial advisers.
  • Identify trends, recurring issues, and training needs arising from file checks and communicate them to relevant stakeholders.
• Compliance & Governance
  • Work closely with the Head of Advisory Compliance to ensure processes align with regulatory updates and Titan Wealth Planning’s policies.
  • Support thematic reviews, risk assessments, and internal audits relating to advice quality.
  • Assist with maintaining robust advice quality frameworks, policies, and documentation.
• Stakeholder Engagement
  • Build strong relationships with advisers, paraplanners, and senior leaders across TWP.
  • Provide guidance, coaching, and technical support to advisers to improve advice standards.
  • Present quality insights, MI, and recommendations to the Head of Advisory Compliance and broader governance forums.
• Continuous Improvement
  • Drive enhancements to advice processes, templates, and guidance materials.
  • Champion initiatives that improve adviser understanding, reduce errors, and strengthen control frameworks.
  • Monitor regulatory and industry developments to ensure TWP remains aligned with best practice.
  • Identify root causes and work with stakeholders to ensure improvements for individuals and across the company.
  • Support with wider Titan project as and when required.

Critical Skills And Experience Required

• Experience in advice quality checking.
• People Management.
• Compliance monitoring.
• Quality Assurance within an FCA regulated Firm, ideally Wealth Management.

Qualifications (Essential & Desirable)

• Diploma in Financial Planning (Level 4) - or equivalent - (essential).
• DBT specific qualifications - (desirable).
• Other relevant qualifications e.g. ICA diploma - (desirable).

FCA Requirements

• Adhere to all FCA regulations including consumer duty.

Titan Key Behaviours

• Commercial Awareness.
• Innovation.
• Collaboration.
• Team contribution.
• Professionalism.

Our employees are talented people, distinguished by excellence. You will be able to demonstrate a willingness to embrace the Company values of:

• Creativity – we recognise we need new ways of thinking, learning and doing to both improve our own productivity and efficiency as well to help us stay ahead of competitors.
• Commitment – we are a team with the willingness to put time, effort and energy into driving change in the organisation, going the extra mile.
• Collaboration – we need teamwork amongst ourselves and with partners to generate more innovative, efficient and effective solutions and thereby a greater sense of achievement.

Terms

• Competitive salary.
• Attractive Employee Pension Scheme (7.5% employer & minimum 3% employee).
• 25 days Annual Leave + public holidays.
• Buy and sell holidays up to 5 days.
• Office Christmas close (3‑days).
• A range of benefits which includes private medical insurance, Group life insurance, and income protection insurance.
• Hybrid working.
• Further education and training support.
• Discretionary performance related bonus.
• Confidential Employee Assistance Programme.
• 2 days per year for voluntary work.
• And lots of flexible benefits to choose from!

The Titan Wealth Group is firmly committed to fostering an inclusive and equitable environment for everyone who works with us, regardless of their race, age, gender, sexual orientation, religion, physical ability or disability, or political affiliation. We believe that having a diverse team allows us to create the best possible outcomes for our clients and team members. We strive to provide equal opportunities in all aspects of the workplace with respect to recruitment and career advancement, pay and benefits, training and development opportunities and other job‑related activities.