Compliance & Quality Assurance Officer

About this role

Compliance Quality & Monitoring Officer

Full time office based

MUST have FCA and regulatory compliance backgrounds

UK right to work / Seeking UK based compliance experience.

Position Summary

We have a very exciting opportunity for an FCA experienced Compliance Quality & Monitoring Officer. The right person will play a vital cross-functional role in ensuring regulatory compliance, operational quality, and data integrity across internal teams and external partners.

This role merges three core responsibilities: complaints and data request handling, marketing and advertising compliance, and QA monitoring of calls and data.

In line with FCA audit scope and GDPR obligations, the officer ensures 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

1. Complaints & Information Requests

• Receive, investigate, and resolve complaints in line with FCA/CMC regulations.

• Process DSARs and other data/information requests in accordance with GDPR requirements.

• Validate requester identity, retrieve relevant records, redact third-party data, and respond within statutory deadlines.

• Maintain central complaint and DSAR registers, tracking outcomes, trends, and deadlines.

• Ensure complaint and data handling supports a defensible audit trail as per FCA and GDPR expectations.

2. Internal & External Quality Assurance

• Perform daily QA checks on CRM entries to ensure use of approved scripts, templates, and processes.

• Sample internal and partner call recordings, scoring them against regulatory and internal standards.

• Produce weekly QA scorecards for both internal and external call centre performance.

• Escalate non-compliance or training needs to management.

3. Marketing, Website & Funnel Compliance

• Review and approve new adverts, partner websites, and lead funnels before launch.

• Conduct mystery shopping of partner journeys and audit live advertising (e.g. via Ad Libraries and detection tools).

• Ensure all marketing materials include the necessary disclosures under both FCA and GDPR (e.g. data use, opt-ins).

• Maintain an advert and website review log with screenshots, timestamps, and reviewer sign-off.

4. Data Integrity & Fraud Monitoring

• Monitor daily lead data for duplicates, anomalies, and fraud patterns across all partner channels.

• Ensure data is accurate, relevant, and processed fairly in line with GDPR principles.

• Maintain a fraud risk log and escalate suspect patterns for investigation.

• Collaborate with other departments to ensure only high-quality, compliant leads progress to submission.

5. Reporting & Continuous Improvement

• Summarise weekly trends in complaints, QA results, fraud indicators, and compliance checks.

• Provide actionable insights and evidence to support training, partner feedback, and continuous improvement.

• Contribute to monthly compliance and risk reviews.

• Maintain clear records to demonstrate readiness for FCA audits and GDPR data protection reviews.

Essential (what you need to start with)

• Strong attention to detail and commitment to accuracy.

• Good communication skills, both written and verbal.

• Ability to work with confidential information in a professional manner.

• Organised and able to manage multiple tasks at once.

• Eagerness to learn about compliance, regulation, and quality monitoring.

Desirable (what you can develop with training)

• Awareness of FCA, CMC, GDPR, and ASA/ICO compliance standards.

• Experience with CRM systems or call monitoring tools.

• Understanding of digital marketing or lead generation.

• Analytical skills for reviewing data and spotting patterns.

This is an exciting opportunity for the right individual to join a growing, highly regulated and compliance-focused business, offering excellent scope for professional development and long-term career progression.