Advice Quality Assurance Senior Manager

What will you be doing 

Were seeking a talented individual to lead our Advice Quality Assurance (AQA) team. The team are based across the UK and so you can work from any of our UK hubs ( 3 days aligned to one of our UK offices and 2 days remote). 

The Advice Quality Assurance (AQA) function is a critical component of the Financial Planning Oversight framework ensuring the delivery of high-quality compliant advice across the Financial Planning business. Reporting to the Head of Financial Planning Oversight the Senior Manager of AQA is accountable for leading the AQA team (approximately 10 colleagues) overseeing the execution of assurance processes with precision timeliness and consistency against defined quality standards.

This role demands high levels of proficiency in the technical aspects of the quality and suitability of advice decision making resource management continuous process optimisation and proactive engagement with internal stakeholders and external service providers. The Senior Manager is responsible for maintaining and evolving AQA methodologies to align with regulatory expectations internal governance requirements and industry best practicesensuring the function remains robust responsive and forward-looking.

As an AQA Senior Manager your responsibilities will include among others: -

    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.

Qualifications :

Skills & Experience 

To be successful in this role you should:-

   Have a deep understanding of suitability principles and the application of relevant FCA rules and guidance. 
   Proven line management experience ideally overseeing teams of 1012 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. 

Key Competencies
    Reliable and confident decision making  
    Analytical and critical thinking. 
    Initiative self-management and personal ownership. 
    Strong verbal and written communication. 
    Stakeholder management and relationship building. 
    Teamwork and collaborative working. 
    Problem-solving mindset and approach. 
    Self-awareness and professional maturity.
 

Additional Information :

In this role you would be part of the wider Financial Services Oversight function providing oversight and support to the Financial Planning and Investment Management businesses.  The role does require collaborative working across teams and functions and may require occasional travel to different office locations for meeting and workshops.     

As a colleague here at Evelyn Partners you will have access to benefits that include:

• Competitive salary
• Private medical insurance
• Life assurance
• Pension contribution
• Hybrid working model (role dependant)
• Generous holiday package
• Option to purchase additional holiday
• Shared parental leave

We are proud to value the differences that a diverse workforce brings representative of society and our clients. At Evelyn Partners we have a wide range of highly active employee resource groups and were delivering multiple diversity equity and inclusion initiatives across the organisation. It is our commitment to provide a workspace where all colleagues regardless of identity background or circumstance feel respected as individuals and feel that they can achieve their full potential and work in a safe supportive and inclusive environment.

We are happy to make any reasonable adjustments to accommodate for your needs throughout the application process. Please let your Recruiter know.

Remote Work :

Yes

Employment Type :

Full-time