Senior Regulatory Advice Quality Specialist

True Potential LLP; Newcastle upon Tyne; On-site; GBP 35,000 - 48,000; Full time

Job summary

True Potential Wealth Management, based in Newcastle upon Tyne, is seeking an Advice Quality Specialist to join the Advice Quality Team. You will review the suitability and quality of financial advice provided by our advisers, both before and after implementation, ensuring client objectives are met and regulatory standards are applied.

You will assess recommendations, provide constructive feedback to advisers, and act as a key contact for guidance on Advice Standards.

Qualifications

• Requires a solid understanding of regulated financial advice and the ability to apply technical knowledge to real client scenarios.
• Demonstrates strong written and verbal communication with advisers and stakeholders.
• Shows attention to detail, strong organisation, and the ability to provide constructive feedback.
• Experience in QA, suitability, or compliance environments is a plus.

Responsibilities

• Reviewing the quality and suitability of financial advice before and after implementation.
• Assessing recommendations against client objectives, circumstances, needs and risk factors.
• Applying Advice Standards and regulatory requirements consistently.
• Providing advisers with clear, practical feedback to improve outcomes.
• Identifying conduct risks and breaches; escalating when appropriate.
• Answering queries about Advice Standards and submission requirements.
• Guiding advisers on evidencing requirements for complex cases.
• Collaborating with Adviser Oversight, Operations, Compliance and other teams.

Skills

CII R01-R05 qualification

Regulated financial advice

Written & verbal communication

Analytical reasoning

Attention to detail

Organisation & prioritisation

Constructive feedback

Education

CII Level 4 Diploma in Regulated Financial Planning

Job description

True Potential Wealth Management, based in Newcastle upon Tyne, is seeking an Advice Quality Specialist to join the Advice Quality Team. You will review the suitability and quality of financial advice provided by our advisers, both before and after implementation, ensuring client objectives are met and regulatory standards are applied.

You will assess recommendations, provide constructive feedback to advisers, and act as a key contact for guidance on Advice Standards.