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About the role
Key responsibilities & impact- Lead and support Business Quality Assessors within the team and aid in their development and capabilities, through regular support, learning and the sharing of knowledge and experience.
- Carry out monthly 1:1’s for all team members, supporting ongoing development.
- Assessment of advice in accordance with the Regulators and Progeny Policy.
- Support the introduction of AI tools to allow us to complete a higher volume of file checks to support our Client Outcomes.
- Own and manage the file review and pre-approval processes, ensuring files are reviewed in line with the T&C Scheme and appropriate levels of supervision.
- Undertake file checks on client cases and second checks on the BQA team.
- Prepare MI on file checks undertaken, identifying trends and potential areas of risk / non-compliance.
- Manage compliance and delivery of all remedial action on client files undertaken.
- Identify weaknesses in business quality submission and recommend solutions to reduce or mitigate risk.
- Work closely with the T&C Supervisors to ensure any development needs are captured, and plans are created where required.
- Maintain up-to-date knowledge and understanding of appropriate regulations and internal policies and procedures, including Anti-Money Laundering Regulation, General Data Protection Regulations, FCA Handbook and Progeny’s standards of client service and deliverables.
- Maintain appropriate Continued Professional Development records and supporting evidence.
- Liaise with the Head of Advice Quality to ensure that any agreed change in process is documented and appropriately implemented.
- Any other task as required by the Chief Risk Officer or Compliance Heads of Departments that could be expected as part of the role.
- Act as SME for both team and Planners as required.
- Liaise with other departments in writing policies and agreeing strategies, sitting on various committees as required.
- Deliver Planner training on an ad hoc basis.
- Hold consistency review meetings to share best practices.
Requirements
What you’ll need- Diploma in Financial Planning or equivalent
- File checking experience within a Financial Services / IFA environment
- Experience leading and developing teams to achieve high performance
- Strong understanding of Regulatory Handbooks and their practical application
- Good knowledge of regulatory suitability requirements
- Familiarity with product provider websites and online systems
- Excellent organisational and communication skills
- Ability to apply a consistent, fair, and balanced approach to assessments
- Strong attention to detail with the ability to maintain high‑quality records
- Ability to manage and prioritise workload effectively, including working under pressure.
- CeMAP or equivalent qualification (Desirable)
- Chartered or Fellowship status (Desirable)
- Certificate in Long‑Term Care Insurance (Desirable)
- Experience using AI tools and applying them to file checking or quality assurance (Desirable)
- Paraplanning or report writing experience (Desirable)
- Experience interpreting cash flow analysis (Desirable)
Benefits
Comp & perks- Learning/Development opportunities
- Grow and collaborate in a supportive environment.
- Work towards Chartered and Fellowship status to further develop technical knowledge, fully funded and supported by the business.
- Learn and share knowledge with people from different professional backgrounds.
- Opportunities to develop new skills through lateral or functional moves.
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
file checkingregulatory suitability requirementscash flow analysisparaplanningreport writingAI tools applicationcompliance managementrisk assessmentdata analysisquality assurance
Soft Skills
team leadershipcommunicationorganizational skillsattention to detailworkload managementdevelopment supportproblem-solvingtraining deliverycollaborationknowledge sharing
Certifications
Diploma in Financial PlanningCeMAPChartered statusFellowship statusCertificate in Long-Term Care Insurance