Advice Manager

Progeny; West Yorkshire; On-site; GBP 48,000 - 62,000; Full time

Job summary

Progeny in the United Kingdom seeks an Advice Manager to oversee day-to-day advice quality and support Training & Competency frameworks. You will supervise, QA, and provide MI to ensure consistent standards across advisers, translating regulatory requirements into practical daily practice.

As a link between leadership and advisers, you will guide development, resolve process queries, and maintain robust documentation to show suitability, fair value and positive client outcomes aligned with

Qualifications

• Experience in an advice quality, file review, paraplanning, or T&C support role within UK financial planning.
• Level 4 Diploma in Regulated Financial Planning (or equivalent) is required.
• Strong working knowledge of COBS suitability requirements and Consumer Duty.

Responsibilities

• Deliver the file review programme to agreed standards and timescales with evidence-based feedback.
• Record and track review findings, remediation actions, and outcomes, escalating material concerns to the Head of Advice.
• Support the operation of the T&C scheme, including observations, competency assessments, CPD records, and supervision logs.
• Produce advice quality MI and thematic analysis, highlighting trends, risks and development opportunities.
• Support advisers with day-to-day advice process, documentation, and queries relating to the proposition.
• Maintain advice templates, suitability report standards, and process documentation, keeping them current with regulatory changes.
• Support onboarding of new advisers and acquired advice teams, including gap analysis against firm standards.
• Maintain a complete and audit-ready evidence trail across all advice quality and T&C activities.

Skills

Attention to detail

Organisation

Communication

Documentation discipline

Education

Level 4 Diploma in Regulated Financial Planning

Tools

COBS knowledge

Job description

About The Role

The Advice Manager is responsible for the day-to-day oversight of advice quality and supports the delivery of Training & Competency frameworks. The role provides guidance, supervision support, quality assurance and management information to help maintain consistent advice standards across the adviser population.

The Advice Manager is responsible for the day-to-day oversight of advice quality and supports the delivery of Training & Competency frameworks. The role provides guidance, supervision support, quality assurance and management information to help maintain consistent advice standards across the adviser population.

Working closely with advisers, the Advice Manager supports professional development, resolves advice process and proposition queries, and helps ensure that advice documentation clearly demonstrates suitability, fair value and positive client outcomes in line with Consumer Duty requirements.

As a key link between leadership and advisers, the successful candidate will translate advice standards, policies and regulatory requirements into consistent, high-quality day-to-day practice.

Key Areas of Focus

Advice Quality Review

Support the file review programme, including pre-approval, post-sale and thematic reviews, recording findings, agreeing remediation actions with advisers, and tracking actions through to completion in line with the advice framework and quality standards.

T&C and Adviser Development

Support the operation of the T&C scheme, including adviser observations, competency assessments, CPD tracking and the coordination of individual development plans.

Advice MI and Process

Maintain advice quality MI, identifying trends and root causes, and support the continuous improvement of advice processes, templates and documentation.

Key Responsibilities Include

• Deliver the file review programme to agreed standards and timescales, providing clear, evidence-based, and constructive feedback to advisers.
• Record and track review findings, remediation actions, and outcomes, escalating material concerns to the Head of Advice.
• Support the operation of the T&C scheme, including observations, competency assessments, CPD records, and supervision logs.
• Produce advice quality MI and thematic analysis, highlighting trends, risks, and development opportunities.
• Support advisers with day-to-day advice process, documentation, and queries relating to the proposition.
• Maintain advice templates, suitability report standards, and process documentation, keeping them current with regulatory and proposition changes.
• Support the implementation of proposition and regulatory changes within the advice function, including training and communications.
• Support onboarding of new advisers and acquired advice teams, including gap analysis against firm standards.
• Maintain a complete and audit-ready evidence trail across all advice quality and T&C activities.

Our ideal person

Essential criteria

• Experience in an advice quality, file review, paraplanning, or T&C support role within UK financial planning.
• Level 4 Diploma in Regulated Financial Planning (or equivalent), with commitment to further qualification.
• Strong working knowledge of COBS suitability requirements and Consumer Duty as they apply to advice.
• Ability to assess advice files objectively and articulate findings clearly and constructively.
• Excellent attention to detail, organisation, and documentation discipline.
• Confident communicator able to build credibility with experienced advisers.

Desirable criteria

• Progress towards or attainment of Chartered Financial Planner status.
• Experience of operating within a formal T&C scheme, including observations and competency assessment.
• Experience of adviser or firm integration following acquisition.
• Familiarity with proposition, product governance, or investment governance environments.