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- Tasks: Lead the complaints team and ensure effective resolution of client issues.
- Company: Join a top national IFA firm focused on high-quality financial advice.
- Benefits: Enjoy flexible working locations and opportunities for professional development.
- Why this job: Make a real impact by improving client experiences and driving continuous improvements.
- Qualifications: Extensive complaints handling experience in finance and strong FCA knowledge required.
- Other info: This is a 12-month fixed-term contract with potential for growth.
The predicted salary is between 43200 - 72000 £ per year.
Job Description
Flexible locations UK wide
Our client is a leading national (IFA) firm, dedicated to providing high-quality, client-focused financial advice across the UK. As they continue to grow, they are looking for a highly skilled and experienced Head of Complaints on a 12 month FTC to lead their complaint’s function and ensure they maintain the highest standards of regulatory compliance and customer service.
As Head of Complaints, you will take overall responsibility for the effective management, oversight, and resolution of complaints across the firm. You will ensure that all complaints are handled fairly, promptly, and in line with FCA rules and industry best practice. You will also play a key role in identifying root causes, driving continuous improvements, and ensuring the voice of the client is central to our business operations.
Role & Responsibilities:
- Lead the complaints team, providing direction, support, and development opportunities.
- Oversee the end-to-end complaints handling process, ensuring compliance with FCA DISP rules and internal policies.
- Act as the firm’s subject matter expert for complaints handling, providing guidance to senior management and advisers.
- Monitor trends and root causes, reporting to the Board and driving process improvements.
- Liaise with the Financial Ombudsman Service (FOS) and other external bodies where required.
- Ensure complaint MI is accurate, timely, and insightful to inform strategic decisions.
- Foster a culture of fairness, accountability, and continuous improvement.
Do you have the following to apply?
- Extensive experience in complaints handling within an IFA, wealth management, or investments environment.
- Strong knowledge of FCA regulatory requirements, particularly DISP rules.
- Proven track record of managing a complaints team and influencing at senior management level.
Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.
Clayton Davies is acting as an employment agency on behalf of our client.
Head of Complaints employer: Clayton Davies Ltd
Contact Detail:
Clayton Davies Ltd Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Complaints
✨Tip Number 1
Familiarise yourself with FCA DISP rules and regulations. Understanding these guidelines will not only help you in interviews but also demonstrate your commitment to compliance and best practices in complaints handling.
✨Tip Number 2
Network with professionals in the financial services sector, especially those involved in complaints management. Engaging with industry peers can provide insights into current trends and challenges, which you can discuss during your interview.
✨Tip Number 3
Prepare to showcase your leadership skills by discussing specific examples of how you've successfully managed a complaints team. Highlighting your ability to drive improvements and foster a culture of accountability will set you apart.
✨Tip Number 4
Stay updated on the latest developments in the financial advice sector, particularly regarding customer service and complaints handling. Being knowledgeable about recent changes or case studies can help you make a strong impression during the interview process.
We think you need these skills to ace Head of Complaints
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of the Head of Complaints position. Familiarise yourself with FCA DISP rules and the importance of compliance in complaints handling.
Tailor Your CV: Highlight your extensive experience in complaints handling, particularly within IFA or wealth management environments. Emphasise your leadership skills and any relevant achievements that demonstrate your ability to manage a complaints team effectively.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of the role and your passion for maintaining high standards of customer service. Mention specific examples of how you've driven process improvements and handled complaints in the past.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial for the Head of Complaints role.
How to prepare for a job interview at Clayton Davies Ltd
✨Showcase Your Expertise
As the Head of Complaints, you'll need to demonstrate your extensive knowledge of FCA regulatory requirements and DISP rules. Prepare specific examples from your past experiences where you've successfully navigated complex complaints and ensured compliance.
✨Highlight Leadership Skills
Since this role involves leading a complaints team, be ready to discuss your leadership style. Share instances where you've developed team members or improved team performance, showcasing your ability to foster a culture of fairness and accountability.
✨Prepare for Scenario Questions
Expect scenario-based questions that assess your problem-solving skills. Think about how you would handle various complaint situations, including those that may involve liaising with external bodies like the Financial Ombudsman Service.
✨Demonstrate Continuous Improvement Mindset
The role requires driving process improvements based on trends and root causes. Be prepared to discuss how you've previously identified issues and implemented changes that enhanced customer service and complaint resolution processes.