Find a job 
Featured Companies 
Featured Universities 
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 work, generous leave, and professional development support.
- Why this job: Make a real impact in financial advice while collaborating with a passionate team.
- Qualifications: Level 4 Diploma in Financial Planning and 2 years' experience in a similar role.
- Other info: Embrace creativity and collaboration in a supportive, 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.
This role is a hybrid role based in Harrogate, you will be required to be in the office 3 days a week and two from home.
Our 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. We welcome diversity and strive to provide equal opportunities in recruitment and career advancement, pay and benefits, training and development opportunities and other job-related activities.
File Checker (Advice Quality Team) - 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) - Harrogate
✨Tip Number 1
Network like a pro! Reach out to people in the industry, especially those already working at Titan Wealth. A friendly chat can sometimes lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for the interview by brushing up on your knowledge of FCA regulations and compliance standards. Show us you know your stuff and can hit the ground running in the File Checker role!
✨Tip Number 3
Don’t just focus on your qualifications; highlight your teamwork and collaboration skills. We love candidates who can work well with others and contribute to a positive team culture.
✨Tip Number 4
Apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re genuinely interested in joining our team at Titan Wealth.
We think you need these skills to ace File Checker (Advice Quality Team) - 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 of creativity, commitment, and collaboration.
Showcase Relevant Experience: We want to see your qualifications and experience shine! Be specific about your past roles in FCA-regulated businesses and any relevant certifications like the Level 4 Diploma in Financial Planning. This helps us understand how you can contribute to our team.
Be Clear and Concise: When writing your application, keep it straightforward. Use clear language and bullet points where possible to make it easy for us to read. We appreciate a well-structured application that gets straight to the point!
Apply Through Our Website: Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it shows us you’re keen on joining our dynamic team!
How to prepare for a job interview at Titan Wealth
✨Know Your Stuff
Make sure you’re familiar with the key responsibilities of the File Checker role. Brush up on FCA regulations, Consumer Duty, and MiFID II. Being able to discuss these topics confidently will show that you’re serious about compliance and quality assurance.
✨Showcase Your Experience
Prepare specific examples from your past roles where you’ve conducted file checks or provided feedback on documentation. Highlight how your insights led to improvements in processes or compliance, as this will demonstrate your value to the team.
✨Ask Smart Questions
During the interview, don’t hesitate to ask questions about the team dynamics and how they collaborate with other departments. This shows your interest in teamwork and helps you understand how you can contribute to their culture of quality and accountability.
✨Embrace Their Values
Familiarise yourself with Titan Wealth’s values like creativity, commitment, and collaboration. Think of ways you can embody these values in your work and be ready to share examples of how you’ve done this in previous roles.
