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.
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.
We may close this vacancy early if we receive sufficient applications. Therefore, if you are interested, please submit your application as early as possible.
Skills Required
- 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
- Commitment to further qualification
- Strong working knowledge of COBS suitability requirements and Consumer Duty as applied to advice
- Ability to assess advice files objectively and articulate findings clearly and constructively
- Excellent attention to detail, organisation, and documentation discipline
- Confident communication skills and ability to build credibility with experienced advisers
- Progress toward or attainment of Chartered Financial Planner status
- Experience 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
What We Do
Progeny is the first and only global professional services firm to bring together independent advisory excellence across financial planning, tax, legal and asset management. We join the dots to understand the bigger picture of you, your family and your business to ensure you always receive first-class non-siloed advice, regardless of complexity, speciality or territory. Our team of Chartered Financial Planners, Corporate Lawyers, Private Solicitors and Tax Specialists are equipped to deliver sophisticated solutions that meet your complex needs. Working together, for you. We aim to achieve the very best for investors, businesses, and family offices with our diversity of expertise. Matching you with the right team of professionals, we can help you to achieve your needs and goals.
