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- Tasks: Manage complaints from start to finish, ensuring timely resolutions and regulatory compliance.
- Company: Join a fast-growing financial planning firm dedicated to fairness and clarity.
- Benefits: Enjoy a supportive work culture with opportunities for professional growth and development.
- Why this job: Make a real impact by protecting trust and improving processes in a dynamic environment.
- Qualifications: Level 4 qualification in Financial Planning and three years' experience in complaints management required.
- Other info: Be the go-to expert on complaint handling regulations and collaborate across departments.
The predicted salary is between 36000 - 60000 £ per year.
A dynamic and fast-growing financial planning firm is looking for a Complaints Specialist who’s not afraid to dig deep, listen actively, and bring clarity to complexity. If you’re passionate about fairness, regulatory standards, and making things right—you’ll thrive here. This is more than case-handling. It’s about protecting trust, improving processes, and being the calm in the storm.
Key Responsibilities:
- Manage the full lifecycle of complaints, from acknowledgement to resolution, including redress calculations and FOS escalations.
- Handle multiple complaints simultaneously, ensuring all are resolved within regulatory timeframes.
- Act as the main point of contact for all FOS communications.
- Liaise with third-party providers for defined benefit (DB) redress calculations.
- Serve as the primary liaison for Professional Indemnity insurer queries.
- Investigate root causes of complaints, identify trends, escalate issues, and propose corrective actions.
- Collaborate across departments and all levels to share complaint insights and updates.
- Produce data and management information (MI) reports for committees and regulatory submissions.
- Maintain up-to-date expertise on complaint handling regulations, acting as the internal subject matter expert.
What You Bring:
- Holds a Level 4 qualification in Financial Planning (Dip PFS or equivalent).
- Possesses a minimum of three years’ experience managing complaints within a wealth management or financial planning environment.
- Demonstrated expertise in reviewing and assessing pension advice-related complaints.
- Strong knowledge of FCA DISP complaint handling regulations.
- Solid understanding of complex pension advice.
- Experienced in end-to-end complaints handling, including FOS, root cause analysis, PI insurers, and MI reporting.
Complaints Specialist employer: Broadgate
Contact Detail:
Broadgate Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Complaints Specialist
✨Tip Number 1
Familiarise yourself with the FCA DISP complaint handling regulations. Understanding these regulations inside out will not only help you in interviews but also demonstrate your commitment to compliance and fairness, which is crucial for a Complaints Specialist.
✨Tip Number 2
Network with professionals in the financial planning sector. Attend industry events or join relevant online forums to connect with others who have experience in complaints handling. This can provide you with valuable insights and potentially lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've managed complaints in the past. Think about situations where you identified root causes and proposed corrective actions, as this will showcase your problem-solving skills and ability to improve processes.
✨Tip Number 4
Stay updated on current trends in financial planning and wealth management. Being knowledgeable about recent changes or challenges in the industry will help you engage in meaningful conversations during interviews and show that you're proactive about your professional development.
We think you need these skills to ace Complaints Specialist
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Complaints Specialist. Familiarise yourself with the key tasks mentioned in the job description, such as managing complaints and liaising with third-party providers.
Tailor Your CV: Highlight your relevant experience in managing complaints within a financial planning or wealth management environment. Emphasise your qualifications, especially if you hold a Level 4 qualification in Financial Planning, and detail your expertise in complaint handling regulations.
Craft a Compelling Cover Letter: Use your cover letter to showcase your passion for fairness and regulatory standards. Provide specific examples of how you've successfully resolved complaints and improved processes in previous roles, demonstrating your ability to bring clarity to complexity.
Showcase Your Skills: In your application, make sure to highlight your skills in root cause analysis, MI reporting, and your understanding of FCA DISP complaint handling regulations. Mention any experience you have with FOS communications and working with Professional Indemnity insurers.
How to prepare for a job interview at Broadgate
✨Showcase Your Experience
Be prepared to discuss your previous experience in managing complaints, especially within a financial planning or wealth management context. Highlight specific cases where you successfully resolved issues and the impact of your actions.
✨Demonstrate Regulatory Knowledge
Familiarise yourself with FCA DISP complaint handling regulations and be ready to discuss how you have applied these in your past roles. This will show that you understand the importance of compliance in the complaints process.
✨Emphasise Active Listening Skills
Since the role requires digging deep and listening actively, prepare examples that demonstrate your ability to listen to clients' concerns and respond appropriately. This will illustrate your commitment to fairness and clarity.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills and ability to handle multiple complaints simultaneously. Think about how you would approach complex situations and be ready to explain your thought process.
