Full-Time Advice Quality Assurance Senior Manager

Responsibilities:

• Day-to-day management and supervision of a team of AQA Specialists and external contractors.
• Relationship management with Managing Partners, Heads of Para Planning and Client Delivery and other key front office stakeholders.
• Execution of AQA processes and ensuring that advice and documentation is within agreed standards for accuracy, timeliness, and quality.
• Prioritisation of workload and efficient utilisation of available resources.
• Effective communication of key themes, trends, and issues to senior stakeholders and Financial Planning practitioners.
• Resolution of issues and case disputes between AQA Specialists and Financial Planning practitioners.
• Moderation of AQA grading through internal quality assurance mechanisms.
• Collaboration with Advice and Infrastructure teams to support the development and implementation of Advice Policy and Process controls.
• Rollout and communication of policy and process changes from an AQA perspective.
• Work closely with the Training & Competency team to identify practitioner development needs and contribute to the delivery of relevant training and development initiatives.
• Where required, represent, and act as delegate for, the Head of Financial Planning Oversight.
• Partner with core 2LoD functions including Compliance to resolve advice quality concerns as required and strengthen the quality of advice.

Skills & Experience:

• Have a deep understanding of suitability principles and the application of relevant FCA rules and guidance.
• Proven line management experience, ideally overseeing teams of 10–12 individuals.
• The ability to constructively challenge practices and decisions, including at senior management level.
• Strong stakeholder management and influencing skills.
• Excellent communication skills, with the ability to convey complex issues and outcomes to diverse audiences.
• Experience in issue management and resolution within a regulated environment.

Professional Qualifications and Education:

• Minimum Level 4 Diploma in Financial Planning (DipPFS).
• Ideally Level 6 Chartered Financial Planner status.

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