Job Title: Quality Assurance Officer
Location: Cardiff
Salary: Up to £33,000
Job Purpose:
The primary role of the Quality Assurance Officer is to ensure that the firm’s advisors are adhering to the company’s policies and procedures.
Main Duties and Responsibilities:
* Review and monitor sales calls to ensure high standards of compliance with company and regulatory standards (delegating as required).
* Identify and provide training to advisors as needed.
Other Duties:
* Champion compliance standards and act as the first line of defense in accordance with our compliance monitoring program.
* Pay high regard to Financial Conduct Authority (FCA) regulations including Treating Customers Fairly Principles.
* Review and monitor customer communications to ensure consistency with the company’s core values and regulatory obligations.
* Prepare quality monitoring reports, agree on actions, and ensure implementation within agreed timescales.
* Report on issues to the Director of Quality Control, including recommendations for quality improvements.
* Provide ad hoc feedback to team members and managers on compliance issues.
* Conduct compliance investigations as required.
* Behave in a positive and professional manner at all times when representing the company.
* Work closely with the Director of Quality Control on ad hoc compliance projects.
* Assist in the development and implementation of a risk-based compliance monitoring program.
Personal and Other Duties and Responsibilities:
* Display Company core values at all times.
* Keep updated with the company’s services, procedures, best practices, and regulatory requirements.
* Develop by attending courses, meetings, training events, workshops, and seminars as necessary.
* Demonstrate clear written and verbal communication skills.
* Be highly self-motivated and organized, encouraging others likewise.
* Make informed decisions while being aware of the consequences.
* Observe confidentiality.
* Work on own initiative and meet set timescales.
Qualifications and Training:
* CeMap 1, 2, and 3
Knowledge and Experience:
* IT literate, particularly with Microsoft Office.
Key Skills & Behaviours Required:
* Ability to demonstrate clear written and verbal communication skills.
* A responsible and professional attitude.
* Good people skills - able to build relationships with colleagues at all levels.
* Act with integrity.
* Ability to plan and prioritize workload.
* Calmness under pressure.
* Decision-making ability.
* Excellent interpersonal skills.
* Effective organizational skills.
Employment Type: Full-time
Job Function: Quality Assurance, Administrative, and Writing/Editing
Industries: Financial Services, Banking, and Real Estate
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