Job Summary:
Are you organised, detail-focused, and passionate about the mortgage and protection industry? We’re looking for a proactive and friendly team player to join us as a Quality Assurance Associate in our Compliance team. In this role, you’ll play a key part in upholding high regulatory and internal standards by reviewing and assessing the quality of mortgage and protection advice provided across the business. You’ll help ensure our operations are compliant, customer-focused, and aligned with best practices, reducing risk and supporting a culture of continuous improvement.
Key Responsibilities:
- Review mortgage and protection advice files to ensure they meet regulatory standards (e.g. FCA, MCOB, ICOBS) and internal processes.
- Check for completeness, suitability, and evidence of good customer outcomes in line with Consumer Duty.
- Maintain clear records of all QA assessments, outcomes, and actions required, including accurate MI reporting.
- Provide constructive feedback to advisers, supporting individual improvement and promoting a culture of compliance and transparency.
- Monitor trends in file quality and help identify recurring issues or training needs across teams.
- Assist with the delivery of QA induction for new team members and contribute to ongoing compliance training across the firm.
- Support the Compliance team with broader oversight activities aligned to the Compliance Monitoring Plan.
- Liaise with Risk and Compliance teams to help identify and report emerging risks and file-checking issues.
- Collaborate on the review and enhancement of file-checking templates, policies, and procedures to keep them current and effective.
- Participate in ad-hoc file reviews (e.g. fraud investigations or thematic reviews) as needed.
What We’re Looking For:
Essential:
- Previous experience in a compliance, quality assurance, or oversight role in the mortgage and/or protection sector.
- Strong working knowledge of mortgage advice processes, protection products, and relevant FCA regulations.
- High attention to detail with the ability to spot inconsistencies, gaps, or risk indicators in advice files.
- Confident in delivering written and verbal feedback to advisers and managers.
- Ability to work independently, manage workload efficiently, and prioritise competing tasks.
Desirable:
- CeMAP or equivalent Level 3 mortgage qualification.
- Experience working within a network, DA firm, or financial services platform.
- Awareness of financial crime risks and fraud indicators within the mortgage industry
Benefits:
- Full training and ongoing support to help you develop in your role
- Positive team culture with exceptional staff retention
- Opportunities to gain paid, professional qualifications
- Comprehensive health & wellbeing benefits
- Company pension scheme
- Cycle to work scheme
- Enhanced sick pay
- Early Friday finishes at 4pm
- Bonus scheme
- Extra holidays for length of service
- No weekend working
- Monthly breakfast orders
- Excellent local transport links
- Fun company events
Job Type: Full-time
Pay: £27,500.00-£35,500.00 per year
Schedule:
- Monday to Friday
- No weekends
Ability to commute/relocate:
- Sale M33 7PE: reliably commute or plan to relocate before starting work (preferred)
Work Location: In person
Application deadline: 11/08/2025
