We're working with a leading Financial Services organisation looking to add a Quality Assurance & Compliance Specialist to their growing team. This role is focused on monitoring customer outcomes, ensuring regulatory compliance, and driving continuous improvements across adviser and customer interactions.
This opportunity would suit candidates with experience in Business Quality, Compliance, Complaints Handling, Quality Assurance, Advice File Reviewing, or similar roles.
Key Responsibilities
- Monitor adviser processes to ensure compliance with FCA regulations and internal standards.
- Oversee third-party providers, ensuring quality and service levels are maintained.
- Conduct adviser surveys and identify emerging risks or improvement opportunities.
- Deliver training and maintain guidance materials.
- Investigate escalated issues and produce management information and trend analysis.
- Build strong relationships with internal stakeholders to drive continuous improvement.
- Experience within Financial Services, ideally Wealth Management.
- Background in Quality Assurance, Compliance, Complaints, Business Assurance, or a similar role.
- Good understanding of FCA regulations and Consumer Duty.
- Excellent communication and stakeholder management skills.
- Strong analytical mindset with the ability to identify risks and recommend improvements.
- Level 4 Diploma (or working towards) is advantageous but not essential.
