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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
- To champion compliance standards and to act as the first line of defence in accordance with our compliance monitoring programme.
- To pay high regard to Financial Conduct Authority (FCA) regulations including Treating Customers Fairly Principles.
- To review and monitor customer communications to ensure that these are consistent with the company’s core values and regulatory obligations.
- To prepare quality monitoring reports, agree actions and ensure implementation within agreed timescales.
- To report on issues to the Director of Quality Control, including recommendations for quality improvements.
- To provide ad hoc feedback to team members and managers on compliance issues.
- To conduct compliance investigations as required.
- To behave in a positive and professional manner at all times when representing the company.
- To work closely with the Director of Quality Control on ad hoc compliance projects.
- To assist in the development and implementation of a risk based compliance monitoring programme.
PERSONAL AND OTHER DUTIES AND RESPONSIBILTIIES
- To display Company core values at all times.
- To actively keep updated with the company’s services, procedures, best practice and regulatory requirements.
- To develop by, where necessary, attending courses, meetings, training events, workshops and seminars.
- To demonstrate clear written and verbal communication skills.
- To be highly self-motivated and organised, and to encourage others likewise.
- To make informed decisions whilst being aware of the consequences.
- A recognition and regard for observing confidentiality.
- An ability to 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.
- Attention to detail.
- A responsible and professional attitude.
- Good people skills - able to build relationships with colleagues at all levels.
- To act with integrity.
- The ability to plan and prioritise your own work load.
- Calmness under pressure.
- Decision-making ability.
- Excellent interpersonal skills.
- Effective organisational skills.
