Our client is one of the UK’s leading wealth managers. They offer a range of bespoke services to their clients which consist of both individuals and organisations.
Undertake the recording, triaging investigation and analysis of complaints received by the Group in accordance with regulatory requirements, provide recommendations for the resolution of the complaints.
Ensure that regulatory timescales for complaints handling are consistently maintained.
Ensure maintenance of complete records providing a clear audit trail for complaints.
Calculate detriment to clients in accordance with industry standards, Financial Ombudsman Service guidance and internal precedent.
Identify and escalate the systemic issues and trends to relevant parties.
Advise and support the Business on the prevention of complaints.
Carry out training, workshops and one to one training to raise the profile of good complaints handling, preventative measures and awareness of Group procedures.
Maintain knowledge on regulatory matters, company policies and products.
Liaise with investment managers and financial planners, providing them with guidance on potential liability/breach of FCA rules, procedures, interpretation of regulation and company policy in respect of complaints.
As required, assist with production of management information and reports.
Prior relevant industry experience in a complaint handling role within an independent/whole of market organisation in financial services
Financial Ombudsman Service experience
Good knowledge of own department and an understanding of how the role contributes to the Risk & Compliance business strategy.
Proactively develops technical knowledge of regulations through relevant CPD, courses, exams.
Shows willingness to learn new approaches to accomplish work activities.
Takes responsibility for developing links to wider teams and departments.
For further information please contact Marcus Courtney