Advice Quality & Compliance Lead

The Progeny Group Limited; West Yorkshire; On-site; GBP 60,000 - 90,000; Full time

Job summary

The Progeny Group Limited is seeking an Advice Manager to oversee advice quality, support Training & Competency frameworks, and provide guidance and MI to ensure consistent advice standards across advisers. You will work with advisers to develop capability and ensure that advice remains suitable, fair value and compliant with Consumer Duty requirements.

As a key link between leadership and advisers, you will translate advice standards, policies and regulatory requirements into day-to-day

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).
• Strong knowledge of COBS suitability requirements and Consumer Duty as they apply to advice.

Responsibilities

• Deliver the file review programme, with pre-approval, post-sale and thematic reviews, and provide actionable 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, identifying trends, risks and development opportunities.
• Maintain advice templates, suitability report standards, and process documentation to reflect regulatory changes.
• Support onboarding of new advisers and acquired advice teams, including gap analysis against firm standards.

Skills

Advice quality

File review

Paraplanning

T&C support

Regulated financial planning

Education

Diploma in Regulated Financial Planning (Level 4)

Job description

The Progeny Group Limited is seeking an Advice Manager to oversee advice quality, support Training & Competency frameworks, and provide guidance and MI to ensure consistent advice standards across advisers. You will work with advisers to develop capability and ensure that advice remains suitable, fair value and compliant with Consumer Duty requirements.

As a key link between leadership and advisers, you will translate advice standards, policies and regulatory requirements into day-to-day