Quality Assurance Officer (Retirement Advice)

Your Company:
A leading financial services organisation is seeking a highly organised and forward-thinking Quality Assurance Officer (Retirement Advice) to join its Retirement Advice division. This is a pivotal role responsible for providing independent quality assurance across regulated advice and non-advisory sales processes, ensuring that regulatory obligations are met and that customers consistently receive fair and positive outcomes. Working closely with advisers, risk and compliance colleagues, and wider business teams, you will play a key role in safeguarding advice quality, enhancing operational standards, and supporting a strong culture of governance. From assessing complex pension transfer advice to analysing customer interactions and identifying emerging themes, your contribution will strengthen decision-making and uphold the highest standards of regulatory compliance.

Your Role and Responsibilities
In this position, your duties may include, but are not limited to:
  • Delivering quality assurance assessments across advised and non-advised sales activity through methods such as call reviews, desk-based documentation checks, and analysis of customer feedback.
  • Reviewing complex pension transfer and at-retirement advice processes, including detailed assessment of advice files, calls, and supporting documentation.
  • Providing constructive feedback to support the ongoing competence, development, and performance of advisers.
  • Identifying common themes and emerging risks, presenting clear conclusions and recommending appropriate actions to senior risk and compliance colleagues.
  • Developing and maintaining a strong understanding of complex advice processes, relevant risks, and regulatory requirements.
  • Contributing to the continuous improvement of quality assessment methodologies and supporting the development of effective quality assurance frameworks.
  • Delivering accurate, fair, and timely feedback on all assessments, ensuring clarity and consistency.
  • Maintaining robust records of assessment outcomes to support management information and reporting processes.
  • Ensuring all work meets the standards required by internal risk management functions and external regulatory bodies.
  • Demonstrating a commitment to ongoing professional development, maintaining competence and aligning behaviours to the standards expected of regulated advisers.
  • Continuously developing knowledge of the financial services industry to ensure customer needs and expectations are consistently met.
  • Sharing experience, providing coaching, and contributing to team knowledge and capability.
  • Participating in feedback forums, meetings, and case review discussions with stakeholders across the business.
What You Will Need to Apply:
The ideal candidate will have experience within the financial services sector and a solid understanding of FCA regulations. You should be able to deliver effective quality assessments in the retirement and investment advice space, offering clear and constructive feedback.

Applicants should have:
  • Experience conducting assessments of regulated advice, including pension transfer and complex advice processes.
  • Knowledge of at-retirement and investment markets across a broad product range.
  • An understanding of customer service principles and regulated advice standards.
  • Strong analytical skills with the ability to interpret and present data accurately.
  • Excellent communication skills and the ability to build strong working relationships with colleagues at all levels.
  • Confidence in making sound judgements, offering challenge where appropriate, and applying effective negotiation skills.
  • Strong IT skills, including competent use of Microsoft Office applications.
  • A relevant professional qualification such as RO4 or a Diploma in Financial Planning (or working towards it).
  • Advanced qualifications such as AF3, G60, or equivalent (desirable).
  • Knowledge of the MCOB sourcebook and experience in mortgage advice or administration (desirable but not essential).
  • Additional qualifications such as ER1, CF6, or CF8 (desirable but not essential).
What You Will Get in Return:
This opportunity offers the chance to contribute to a purpose-driven organisation with a strong commitment to high-quality advice, customer fairness, and continuous improvement. You will join a professional and supportive team where your expertise will directly influence advice standards, customer experience, and risk management practices.
You will receive a competitive salary of up to £69,000 per year, along with a comprehensive benefits package.

This organisation is committed to fostering an inclusive culture and supporting flexible working arrangements where possible. You must have the existing right to work in the UK, as sponsorship cannot be provided for this role.

To express interest in this role and have a confidential chat, please reach out to:

Alexander Booth - Talent Acquisition Specialist

M: 07525 238567
E: abooth@netrecruit.com
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