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- Tasks: Ensure compliance by reviewing sales calls and training advisors.
- Company: Join a dynamic firm focused on high standards and customer fairness.
- Benefits: Competitive salary up to £33,000 with opportunities for professional development.
- Why this job: Be a key player in maintaining quality and compliance while growing your skills.
- Qualifications: CeMap 1, 2, and 3 required; IT literacy essential.
- Other info: Work closely with the Director of Quality Control on exciting projects.
The predicted salary is between 26400 - 39600 £ per year.
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.
Quality Assurance Officer employer: D&R Recruitment Limited
Contact Detail:
D&R Recruitment Limited Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Quality Assurance Officer
✨Tip Number 1
Familiarize yourself with the Financial Conduct Authority (FCA) regulations, especially the Treating Customers Fairly Principles. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance standards.
✨Tip Number 2
Showcase your attention to detail by preparing examples of how you've previously identified compliance issues or improved processes. This will highlight your proactive approach and ability to maintain high standards.
✨Tip Number 3
Network with professionals in the quality assurance field, especially those familiar with financial services. Engaging with industry peers can provide insights and potentially lead to referrals for the position.
✨Tip Number 4
Prepare to discuss your experience with training and mentoring others. As a Quality Assurance Officer, you'll need to identify training needs and support advisors, so demonstrating your ability to develop others is key.
We think you need these skills to ace Quality Assurance Officer
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description for the Quality Assurance Officer position. Highlight key responsibilities and required skills, such as compliance monitoring and communication abilities, to tailor your application.
Tailor Your CV: Customize your CV to reflect your experience in quality assurance and compliance. Emphasize relevant qualifications like CeMap and any previous roles that involved monitoring or training others in compliance standards.
Craft a Strong Cover Letter: Write a cover letter that showcases your understanding of the company's core values and your commitment to maintaining high compliance standards. Use specific examples from your past experiences to demonstrate your skills and how they align with the role.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. Ensure that your written communication is clear and professional, reflecting the attention to detail that is crucial for the Quality Assurance Officer role.
How to prepare for a job interview at D&R Recruitment Limited
✨Understand Compliance Standards
Make sure you have a solid understanding of compliance standards, especially those set by the Financial Conduct Authority (FCA). Be prepared to discuss how you would ensure adherence to these standards in your role.
✨Showcase Your Communication Skills
Since clear written and verbal communication is crucial for this position, practice articulating your thoughts clearly. You might be asked to provide examples of how you've effectively communicated compliance issues in the past.
✨Demonstrate Attention to Detail
Prepare to discuss specific instances where your attention to detail made a difference in your previous roles. This could involve monitoring sales calls or preparing quality reports.
✨Highlight Your Organisational Skills
Be ready to explain how you prioritize tasks and manage your workload. The interviewers will want to know how you stay organized, especially when working under pressure or tight deadlines.
