Head of Agency Quality Assurance

Job purpose
The Head of Quality Assurance leads the development, execution, and oversight of comprehensive quality assurance initiatives within the Agency division. This role is responsible for establishing quality standards, building quality frameworks, detect and monitor sales conducting risks and ensuring compliance with regulatory and operational requirements across the advisor and sales force populations.
Major accountabilities
Strategic Leadership & Framework Development
• Design and establish the Agency quality strategy, processes, and governance frameworks
• Define Key Risk Indicators (KRIs) aligned with business objectives and regulatory requirements
• Lead the development of the Quality Assurance testing process and quality control procedures
• Oversee participation in quality development framework projects and strategic initiatives
Process & SOP Management
• Review and enhance Agency Standard Operating Procedures (SOPs) to embed quality controls
• Build and implement Quality Assurance testing protocols to validate SOP quality control effectiveness
• Establish processes for triggered suspicious cases, database collection, investigation, and reporting & disciplinary actions
Monitoring & Risk Management
• Monitor KRIs and quality metrics on an ongoing basis
• Identify quality risks and emerging trends across the Agency division
• Provide management reporting on quality performance and risk indicators
• Monitor conduct risk indicators and identify behaviors that may lead to mis-selling, client benefit impact, or regulatory breaches; escalate concerns in accordance with governance requirements.
• Implement fraud risk monitoring themes relevant to Agency activities (e.g., suspicious transactions, document anomalies, identity or payment irregularities) and coordinate timely investigation and remediation with relevant stakeholders.
• Partner with Compliance, Risk and relevant business stakeholders to manage issue escalation, action tracking, and reporting of conduct and fraud risk trends.
• Monitor third-party card payment processes to identify quality, conduct, and fraud risk concerns. Develop recommendations and remediation actions to address identified third-party payment issues. Coordinate implementation of third-party payment control enhancements and process improvements with relevant departments
Investigation & Discipline action
• Conduct intake, triage, and investigation of incidents and quality-suspicious cases, including timely escalation of potential material conduct and fraud-related cases in line with governance requirements.
• Conduct root cause analysis and ensure thorough documentation, including maintenance of investigation evidence, decision rationale, and confidentiality requirements.
• Prepare incident and dispute cases reports and supporting metrics for management review, ensuring accuracy, completeness, and appropriate access controls.
• Recommend disciplinary (as appropriate) and/or corrective actions based on investigation findings, partnering with Compliance and business leadership to ensure due process, consistency, and completion tracking.
Quality Training
• Develop and execute an end-to-end quality training roadmap for advisors and sales force
• Ensure advisors and sales personnel understand quality expectations and compliance requirements
• Drive continuous improvement through targeted training and development programs
Third-Party Payment Monitoring
• Analyze third-party card payment processes and quality concerns
• Develop recommendations to resolve identified issues
• Coordinate implementation of process improvements with relevant departments
Team management & Ad-hoc tasks as assigned 5%