Titan Wealth Holdings

Advice Quality Manager

Titan Wealth Holdings

full-time

Posted on:

Location Type: Hybrid

Location: Harrogate • United Kingdom

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About the role

  • 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.
  • 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.
  • 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.
  • 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.
  • 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.

Requirements

  • Experience in advice quality checking.
  • People Management.
  • Compliance monitoring.
  • Quality Assurance within an FCA regulated Firm, ideally Wealth Management.
  • Diploma in Financial Planning (Level 4) - or equivalent - (essential).
  • DBT specific qualifications - (desirable).
  • Other relevant qualifications e.g. ICA diploma - (desirable).
  • Adhere to all FCA regulations including consumer duty.
Benefits
  • 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!
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
advice quality checkingcompliance monitoringquality assurancefile checking processrisk assessmentsthematic reviewsinternal auditstraining needs identificationprocess enhancementsroot cause analysis
Soft Skills
people managementteam leadershipcollaborationcoachingcommunicationrelationship buildingconstructive feedbackproblem solvingmotivationcontinuous improvement
Certifications
Diploma in Financial Planning (Level 4)DBT specific qualificationsICA diploma