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- Tasks: Lead the complaints team, ensuring effective resolution and reporting of client issues.
- Company: Join Ascot Lloyd, a regulated financial services company focused on client satisfaction.
- Benefits: Enjoy a 12-month fixed-term contract with opportunities for professional growth and development.
- Why this job: Make a real impact by improving client outcomes and driving continuous improvement across the business.
- Qualifications: 5+ years in complaint management within financial services; strong communication and analytical skills required.
- Other info: This role is crucial for maintaining compliance and enhancing client relationships.
The predicted salary is between 48000 - 72000 £ per year.
Role title: Head of Client Resolution
Reports to: Head of Compliance Advisory
Location: Hub Location(Reading, London, Birmingham, Leeds or Glasgow)
Hours of work: 35 hours each week
SMCR Function:This is a Conduct Role
This is a 12 month FTC (maternity cover)
Purpose of role
Responsible for the day-to-day management of the complaints team, all client complaints including the end-to-end process for resolution, reporting to the wider business and driving improved client outcomes.
Key Responsibilities
Investigation
- Investigate and resolve complaints to a satisfactory resolution for both the client and the business.
- Liaise with PII, making relevant notifications, preapproval of client correspondence and ensuring required reporting is done on a timely and accurate basis.
- To produce high quality written communication, and to communicate verbally with external parties and clients until matters are resolved.
- Ensure that a full and detailed audit trail is on file for each complaint case, with clear notes and all relevant documentation.
- To accurately complete and maintain the Complaints Register so it reflects the current position of complaints received at any time.
Management
- To ensure all complaints are managed within regulatory timescales as per DISP.
- To identify and analyse the root cause of complaints across the business and to develop solutions in conjunction with other departments, to minimise reoccurrence.
- To build relationships with all areas of the business to ensure there is focus on continuous improvement and the avoidance of future complaints.
- To review the outcome FOS decisions ensuring any learnings are understood and appropriate actions taken.
- To maintain internal and external complaints procedures and ensure these are made available.
- To assist with the design and delivery of Complaint training to the wider business.
- Manage and develop the complaints team to ensure they are motivated, effective and provide excellent support to all parties both internally and externally.
- Review client correspondence produced by team members to ensure letters issued are of a high standard.
Reporting
- To escalate areas of concern to HOCA, including potential high redress cases, trends identified and emerging risks to the business.
- Completion of RegData FCA complaint returns and notify HOCA when FCA notification events occurs such as redress payments over £50K and advisers with 3+ upheld complaints in a 12-month rolling period.
- To regularly produce management information and reports for relevant internal committees and to present this information when required to do so.
- To regularly update Finance with potential redress provision.
SM&CR Responsibilities
As an FCA regulated Company, Ascot Lloyd are required to adhere to the Senior Managers and Certification Regime (SM&CR), to develop a culture where employees take personal responsibility for their own actions.
Individual Conduct Rules
- You must act with integrity
- You must act with due care, skill and diligence
- You must be open and co-operative with the FCA, PRA and other regulators
- You must pay due regard to the interests of customers and treat them fairly
- You must observe proper standards of market conduct
- You must act to deliver good outcomes for clients
Experience / Skills Required
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5+ years’ Complaint Manager (Wealth) experience.
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Strong understanding of end-to-end operations and client services in an IFA environment.
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Proven financial services background with FCA regulations knowledge.
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Key member of successful teams; experienced in senior/Exec presentations and reporting.
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Skilled in data analysis, root cause analysis, and driving improvements.
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Excellent written and verbal communication; strong analytical/report writing skills.
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Able to prioritise, meet deadlines, and work collaboratively across business areas.
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Confident in evidence-based views; able to challenge senior colleagues appropriately.
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Skilled at balancing differing team priorities to deliver results.
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Discreet, confidential, and proficient in MS Office (Excel, Word, Outlook, PowerPoint).
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Experienced in target-driven operational environments.
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Head of Client Resolution - 12 month FTC employer: Ascot Lloyd group
Contact Detail:
Ascot Lloyd group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Client Resolution - 12 month FTC
✨Tip Number 1
Familiarise yourself with the FCA regulations and DISP guidelines. Understanding these frameworks will not only help you in interviews but also demonstrate your commitment to compliance and client care.
✨Tip Number 2
Network with professionals in the financial services sector, especially those involved in complaints management. Engaging with others in the field can provide insights into best practices and may even lead to referrals.
✨Tip Number 3
Prepare to discuss specific examples of how you've resolved complex complaints in the past. Highlighting your problem-solving skills and ability to drive improvements will set you apart from other candidates.
✨Tip Number 4
Stay updated on industry trends and common complaints within the IFA environment. Being knowledgeable about current issues will show your proactive approach and readiness to tackle challenges in the role.
We think you need these skills to ace Head of Client Resolution - 12 month FTC
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in complaint management, particularly in a wealth management context. Emphasise your understanding of FCA regulations and any relevant achievements that demonstrate your ability to drive improvements.
Craft a Strong Cover Letter: In your cover letter, address the key responsibilities outlined in the job description. Provide specific examples of how you've successfully managed complaints and improved client outcomes in previous roles.
Showcase Communication Skills: Since excellent written and verbal communication is crucial for this role, ensure that your application reflects your ability to produce high-quality written correspondence. Consider including a brief example of a challenging situation where your communication skills made a difference.
Highlight Team Management Experience: If you have experience managing teams, be sure to mention it. Discuss how you've motivated and developed team members in the past, as well as any training initiatives you've led that align with the responsibilities of this role.
How to prepare for a job interview at Ascot Lloyd group
✨Showcase Your Complaint Management Experience
Make sure to highlight your 5+ years of experience in complaint management, especially within the wealth sector. Be prepared to discuss specific examples of how you've successfully resolved complaints and improved client outcomes.
✨Demonstrate Your Regulatory Knowledge
Familiarise yourself with FCA regulations and the Senior Managers and Certification Regime (SM&CR). During the interview, be ready to explain how you ensure compliance and maintain high standards in client interactions.
✨Prepare for Data Analysis Questions
Since the role involves root cause analysis and data reporting, brush up on your analytical skills. Be prepared to discuss how you've used data to identify trends and implement improvements in previous roles.
✨Exhibit Strong Communication Skills
As excellent written and verbal communication is crucial for this role, practice articulating your thoughts clearly. You might be asked to provide examples of how you've communicated complex information to clients or senior colleagues.
