Compliance & Quality Assurance Officer

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 Managament
• 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

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