At a Glance
- Tasks: Ensure compliance and quality across operations, handling complaints and monitoring data integrity.
- Company: Join a forward-thinking company focused on regulatory compliance and consumer protection.
- Benefits: Competitive salary, professional development, and a chance to make a real difference.
- Other info: Dynamic role with opportunities for growth in the financial services sector.
- Why this job: Be the guardian of quality and compliance, impacting customer experiences positively.
- Qualifications: Experience in compliance and quality assurance, with strong attention to detail.
The predicted salary is between 35000 - 45000 £ per year.
My client requires a Compliance & Quality Assurance Officer to ensure robust regulatory compliance, operational quality, and data integrity across the business. This role comprises three core responsibilities:
- Complaint Oversight / Data Request Management
- Marketing / Financial Promotions Compliance
- Quality Assurance / Call & Data Monitoring
The successful incumbent will ensure effective oversight across the full client journey — from advertising and data capture through to final complaint resolution — safeguarding consumer outcomes, data privacy, and organisational compliance.
Key Responsibilities:
- Receive, investigate, and resolve Complaints in line with FCA regulations.
- Process Data Subject Access Requests (DSARs) in accordance with GDPR requirements; validating requester identity, retrieving relevant records, redacting third-party data, and responding within statutory deadlines.
- Maintain central Complaints and Data registers - tracking outcomes, trends, and deadlines, and ensuring there is a defensible audit trail as per FCA and GDPR requirements.
- Perform Quality Assurance on CRM entries to ensure proper use of scripts, templates, and processes; sampling call recordings and scoring them against regulatory standards.
- Produce weekly Quality Assurance scorecards for call centre performance, escalating any non-compliance or training needs to management.
- Review and approve new adverts and website content before launch, including conducting mystery shopping of any partner/supplier journeys, and auditing live advertising.
- Ensure all financial promotions and marketing materials include the necessary disclosures under both FCA and GDPR (e.g. data use, opt-ins).
- Maintain an advert/website review log with screenshots, timestamps, and reviewer signoff.
- Monitor data for duplicates, anomalies, and fraud patterns across all partner channels, ensuring maximum accuracy, relevance, and proportionality in line with GDPR principles.
- Maintain a fraud risk log and escalate suspect patterns for investigation, collaborating with colleagues to ensure this is done in an effective manner.
- Report trends in complaints, QA results and fraud indicators - providing actionable insights and evidence to support feedback, training, and continuous improvement.
- Maintain clear records to demonstrate readiness for FCA audits and GDPR reviews.
Key Skills & Experience Required:
- Existing background in compliance, regulation, and quality monitoring in financial services.
- Good knowledge of FCA, GDPR, and ICO compliance standards.
- Strong attention to detail, commitment to accuracy and good communication skills.
- Ability to work in a professional manner; able to manage multiple tasks at once.
- Experience with CRM systems or call monitoring tools, and ideally with digital marketing.
- Good analytical skills for reviewing data and spotting patterns.
If this sounds like it could be of interest to you, please click 'Apply' today - or for more information, contact Terry Wetters (Founder/Director): 07891 708 941 / terry@barleycorn.io
Compliance & Quality Assurance Officer employer: Barleycorn
As a leading player in the financial services sector, our company offers an exceptional work environment that fosters collaboration and innovation. With a strong commitment to employee development, we provide ample opportunities for growth and advancement, ensuring that our team members are equipped with the skills needed to excel in their careers. Located in a vibrant area, we promote a healthy work-life balance and a culture of inclusivity, making us an attractive employer for those seeking meaningful and rewarding employment.
