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For Companies At a Glance
- Tasks: Review client advice files for accuracy and compliance, ensuring top-notch quality.
- Company: Join Titan Wealth, a fast-growing wealth management firm with a dynamic culture.
- Benefits: Enjoy competitive salary, hybrid working, and generous annual leave.
- Why this job: Make a real impact in financial advice while collaborating with a talented team.
- Qualifications: Level 4 Diploma in Financial Planning and 2 years' experience in a similar role.
- Other info: Embrace creativity and collaboration in a diverse and inclusive environment.
The predicted salary is between 36000 - 60000 £ per year.
Overview
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.
Responsibilities
- File Checking & Quality Assurance
Conduct detailed reviews of client advice files (new business and ongoing advice) to ensure accuracy, suitability, and compliance with internal policies and FCA regulations. Assess appropriateness of recommendations, documentation, risk assessments, and suitability reports. Evaluate completeness and integrity of KYC, AML, and financial planning information. - Compliance & Regulatory Alignment
Ensure advice files meet regulatory requirements including Consumer Duty, COBS, and MiFID II. Identify potential risks, breaches, or inconsistencies and escalate where necessary. Support the Manager by providing insights into recurring issues or emerging compliance themes. - Feedback & Continuous Improvement
Provide clear, constructive feedback to paraplanners and advisers on how to resolve issues or strengthen documentation. Track and monitor file quality trends to support continuous improvement initiatives. Contribute to the development and refinement of file-checking processes, templates, and quality standards. - Team Support & Collaboration
Collaborate with advisory, compliance, and administration teams to ensure smooth file completion workflows. Attend internal meetings and training sessions to remain current on regulatory change and business updates. Support new team members by sharing best practices and helping maintain a culture of quality and accountability.
Critical Skills And Experience Required
Level 4 Diploma in Financial Planning (or equivalent). Must have at least 2 years’ experience in a similar role within an FCA‑regulated business.
Key Interfaces (Internal and External)
Members of the Compliance team, Advisers, Paraplanners, and wider business stakeholders.
FCA Requirements
Adhere to all FCA regulations including consumer duty.
Titan Key behaviours
Commercial Awareness, Innovation, Collaboration, Team contribution, Professionalism.
Company Values
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 as 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.
File Checker (Advice Quality Team) in Harrogate employer: Titan Wealth
Contact Detail:
Titan Wealth Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land File Checker (Advice Quality Team) in Harrogate
✨Tip Number 1
Network like a pro! Reach out to people in the industry, especially those at Titan Wealth. A friendly chat can open doors that a CV just can't.
✨Tip Number 2
Prepare for interviews by knowing your stuff. Research Titan Wealth’s values and recent news. Show us you’re not just another candidate but someone who genuinely cares about our mission.
✨Tip Number 3
Practice makes perfect! Do mock interviews with friends or family. Get comfortable talking about your experience and how it aligns with the File Checker role.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen. Plus, we love seeing candidates who take that extra step to connect with us directly.
We think you need these skills to ace File Checker (Advice Quality Team) in Harrogate
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter for the File Checker role. Highlight your experience in file checking and compliance, and show us how you align with our values at Titan Wealth.
Showcase Your Skills: Don’t just list your qualifications; demonstrate how your Level 4 Diploma in Financial Planning and your two years of experience make you the perfect fit for this role. We want to see your expertise shine through!
Be Clear and Concise: When writing your application, keep it straightforward and to the point. Use clear language to explain your past experiences and how they relate to the responsibilities outlined in the job description.
Apply Through Our Website: We encourage you to submit your application directly through our website. It’s the best way for us to receive your details and ensures you’re considered for the role without any hiccups!
How to prepare for a job interview at Titan Wealth
✨Know Your Regulations
Familiarise yourself with FCA regulations, especially Consumer Duty and MiFID II. Being able to discuss these in detail will show that you understand the compliance landscape and can contribute to maintaining high standards.
✨Showcase Your Experience
Prepare specific examples from your past roles where you've conducted file checks or quality assurance. Highlight how your actions led to improved compliance or better outcomes for clients, as this will demonstrate your practical knowledge.
✨Emphasise Collaboration Skills
Since teamwork is key in this role, be ready to discuss how you've worked with paraplanners, advisers, and compliance teams in the past. Share instances where your collaboration led to successful project outcomes or resolved issues.
✨Feedback is Key
Be prepared to talk about how you provide constructive feedback. Discuss your approach to helping others improve their documentation and processes, as this aligns with the continuous improvement ethos of Titan Wealth.
