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For Companies At a Glance
- Tasks: Investigate and resolve pension-related complaints efficiently.
- Company: Join a dynamic financial planning firm focused on compliance.
- Benefits: Enjoy hybrid work options and a supportive team environment.
- Why this job: Make a real impact by improving processes and enhancing customer satisfaction.
- Qualifications: DipFA Level 4 required; 3 years in a similar role preferred.
- Other info: Opportunity to liaise with industry professionals and enhance your skills.
The predicted salary is between 36000 - 60000 £ per year.
This is a great opportunity to join a financial planning firm within the Compliance Department, reporting directly to the Compliance Director. In this role, you will investigate and resolve pension advice and service-related complaints with accuracy and efficiency, while managing all aspects of the organisation’s complaints policies, procedures, and processes.
Key Responsibilities
- Complaint Management: Handle end-to-end complaint processes from initial acknowledgment through resolution, including redress calculations and escalations to the Financial Ombudsman Service (FOS).
- Root Cause Analysis: Conduct root cause analysis for complaints, escalating issues and providing actionable solutions to improve processes.
- Professional Communication: Liaise with the FOS, Professional Indemnity insurers, and third-party outsourcers, coordinating as needed for Defined Benefit (DB) redress calculations.
- Data and Reporting: Prepare data and management information (MI) reports for internal committees and regulatory reporting.
Skills Requirements
- Qualifications: DipFA Level 4 required (AF7 beneficial).
- Experience: At least 3 years in a similar complaints role in wealth management or financial planning, with pension advice expertise.
- Complaint Handling Expertise: Experience with redress calculations, FOS escalations, root cause analysis, MI production, and regulatory reporting.
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 Financial Ombudsman Service (FOS) processes and guidelines. Understanding how FOS operates will not only help you in your role but also demonstrate your commitment to effective complaint resolution during interviews.
✨Tip Number 2
Brush up on your root cause analysis skills. Being able to identify underlying issues in complaints will set you apart, as it shows you can contribute to improving processes and preventing future complaints.
✨Tip Number 3
Network with professionals in the financial planning and wealth management sectors. Engaging with others in the industry can provide insights into best practices and may even lead to referrals for job opportunities.
✨Tip Number 4
Stay updated on regulatory changes affecting the financial services industry. Demonstrating your knowledge of current regulations during discussions can highlight your expertise and readiness for the role.
We think you need these skills to ace Complaints Specialist
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in complaint management, particularly in financial planning or wealth management. Emphasise your skills in root cause analysis and redress calculations.
Craft a Strong Cover Letter: In your cover letter, explain why you are passionate about the role of Complaints Specialist. Mention specific experiences that demonstrate your ability to handle complaints effectively and your understanding of the Financial Ombudsman Service.
Showcase Relevant Qualifications: Clearly state your qualifications, especially the DipFA Level 4. If you have additional certifications like AF7, make sure to mention them as they can set you apart from other candidates.
Highlight Communication Skills: Since the role involves liaising with various stakeholders, emphasise your professional communication skills. Provide examples of how you've successfully communicated complex information in previous roles.
How to prepare for a job interview at Broadgate
✨Know Your Complaints Process
Familiarise yourself with the end-to-end complaints process, especially in the context of financial planning. Be prepared to discuss how you would handle a complaint from initial acknowledgment to resolution, including any experience you have with redress calculations and escalations.
✨Demonstrate Root Cause Analysis Skills
Be ready to explain your approach to root cause analysis. Think of specific examples where you've identified underlying issues in complaints and how you proposed actionable solutions to improve processes.
✨Showcase Professional Communication
Since you'll be liaising with various stakeholders, practice articulating your communication style. Prepare examples of how you've effectively communicated with the Financial Ombudsman Service or other third parties in previous roles.
✨Prepare for Data and Reporting Questions
Understand the importance of data in complaint management. Be prepared to discuss your experience with preparing management information reports and how you ensure accuracy and compliance in regulatory reporting.
