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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in advice quality assurance, file review processes, and training and competency frameworks within the UK financial planning sector. Proficient in regulatory compliance, documentation standards, and continuous improvement initiatives.
Highest-signal resume keywords
Advice Quality AssuranceFile Review ManagementLevel 4 Diploma in Regulated Financial PlanningCOBS Suitability RequirementsChartered Financial Planner Status
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
File ReviewCompetency AssessmentAdvice Process DocumentationQuality AssuranceContinuous ImprovementRegulatory ComplianceTraining DeliveryData AnalysisRemediation TrackingAdviser Support
Soft Skills
Attention to DetailOrganizational SkillsClear CommunicationCredibility BuildingConstructive Feedback
Certifications & Qualifications
Level 4 Diploma in Regulated Financial PlanningChartered Financial Planner Status
Industry Keywords
T&C SchemeConsumer DutyProposition GovernanceInvestment GovernanceAdviser Integration
About the role
Key responsibilities & impact- Oversee advice quality day to day and support delivery of Training & Competency frameworks
- Provide guidance, supervision support, quality assurance, and management information to maintain consistent advice standards
- Support the file review programme, including pre-approval, post-sale, and thematic reviews
- Record findings, agree remediation actions with advisers, and track actions through completion
- Support the T&C scheme, including adviser observations, competency assessments, CPD tracking, and individual development plans
- Maintain advice quality MI, identify trends and root causes, and support continuous improvement of advice processes, templates, and documentation
- Deliver the file review programme to agreed standards and timescales, providing evidence-based feedback
- Escalate material concerns to the Head of Advice
- Support advisers with day-to-day advice process, documentation, and proposition queries
- Maintain suitability report standards and process documentation in line with regulatory and proposition changes
- Support implementation of proposition and regulatory changes, including training and communications
- Support onboarding of new advisers and acquired advice teams, including gap analysis against firm standards
- Maintain a complete, audit-ready evidence trail across advice quality and T&C activities
Requirements
What you’ll need- 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
- 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