Job Description
Quality Assurance Officer
Cardiff
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 companies policies and procedures.
MAIN DUTIES AND RESPONSIBILITIES
Main, 'day to day’ duties:
* To review and monitor sales calls to ensure high standards of compliance with company and regulatory standards (delegating as and when required).
* To identify and provide training as and when identified to advisors.
Other duties
1. To champion compliance standards and to act as the first line of defence in accordance with our compliance monitoring programme.
2. To pay high regard to Financial Conduct Authority (FCA) regulations including Treating Customers Fairly Principles.
3. To review and monitor customer communications to ensure that these are consistent with the company’s core values and regulatory obligations.
4. To prepare quality monitoring reports, agree actions and ensure implementation within agreed timescales.
5. To report on issues to the Director of Quality Control, including recommendations for quality improvements.
6. To provide ad hoc feedback to team members and managers on compliance issues.
7. To conduct compliance investigations as requ...