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My client is looking for a QA Auditor to join their team, for this role you could have worked for a DCA either in the field and now looking for an office-based role, or have worked in the office monitoring the field agents.
The role reports to the Managing Director Field and Collections. This role will provide my clients 2nd line of defence.
This role will assist the business and our clients to comply with the considerable level of regulations and guidance laid down by the Financial Conduct Authority (FCA), the Information Commissioners Office (ICO), the Solicitors Regulation Authority (SRA), and the Ministry of Justice (MoJ). In addition, we endeavour to ensure the teams adhere to the codes of industry bodies/associations such as the Finance and Leasing Association (FLA), the High Court Enforcement Officers Association (HCEOA), the Civil Enforcement Association (CIVEA) and the Credit Services Association (CSA); and client service level agreements.
Pre-Employment Screening
Due to the nature of the work undertaken, confirmation of employment will be subject to a variety of checks which will be carried out once an offer of employment is accepted. These checks will include employment references covering the last 5 years, proof of ID, proof of address covering the last 5 years, Personnel Vetting credit search (which will only highlight insolvency or County Court Judgments - should any adverse data show on the Personnel Vetting search then any offer of employment made will be withdrawn). Terrorism Check (against data supplied by the Bank of England) and a DBS check previously known as a Criminal Records check
Main Duties
Actively complete daily reviews for the Bracknell operation on a monthly basis, on a combined
basis, this amounts to circa 10 reviews per working day on an average calendar month
o At least 5 call reviews per month for each manager and team leader
o At least 10 call reviews per month for each of the account executive
o 5 body worn video recording reviews per month for each of the field personnel
Carry out end to end case audits
Support and promote their Quality Management System, as guided by their Senior
Management team.
Assist with the completion of client audit visits and client audit questionnaires, findings,
evidence, feedback and actions, as appropriate.
Produce high quality reports summarizing the results which will be shared with our clients.
Assist in monthly QA and Risk report preparation, as required, in particular the production of
the Conduct Risk Dashboard along with and the Consumer Duty Dashboard.
Support the team with any other QA related duties, as required.
To provide an effective and independent 2nd line of defence, through the delivery of regulatory
interpretation and guidance service. Assist with supporting a proactive culture of risk
management, particularly ensuring customers are treated fairly/have good outcomes.
Produce high quality review documentation, including clear terms of reference; working
papers and reports
Skills and experience
Experience of working in an FCA regulated firm, preferably within the consumer credit
environment.
Good knowledge of the FCA control environment.
Sound technical understanding of quality Assurance, specifically in relation to FCA regulated
and consumer credit products and the legal and regulatory framework surrounding them
(and changes as arising).
In depth knowledge of vulnerable customer requirements.
Understanding of Data Protection Act, Anti Money Laundering Regulations, Proceeds of
Crime Act and Anti Bribery and Corruption (and changes as arising).
Experience of compliance monitoring and delivery of review methodology requirements.
Ability to write summary and MI reports, both high level and in detail
Experience and understanding of complaints procedure and resolution.
Knowledge and application of Conduct Risk and Consumer Duty and vulnerable customer
requirements.
Ability to identify inefficiencies and challenge current practices.
Personal Attributes
A passion for compliance and quality delivering against these requirements.
Proficient IT Skills and knowledge of Microsoft Office (including Outlook, Word, Excel, Visio
and Project etc.) as well as PDF Converter
Energetic and self-motivated with the ability to adapt and cope well under pressure
Well organised and able to manage multiple responsibilities effectively whilst maintaining
attention to detail.
Excellent written and verbal communication skills with ability to communicate at all levels
Good research and analytical skills with the ability to assimilate large amounts of
information
Supportive and helpful approach
Demonstrates commercial acumen and a pragmatic attitude.
Ability to manage change, new practices and cope under pressure but with the ability to
recognise when to seek assistance.
Proven ability to think independently and make judgment calls, where required, and also to
work as part of the team
Good time-management, with the ability to work to agreed deadlines
