One day per week out of their Yorkshire based office
Our client is a leading wealth management firm who are seeking an experienced Compliance & Complaints Specialist to join its Risk & Compliance function.
This is an excellent opportunity for someone with a strong background in regulated complaints handling, compliance or quality assurance who enjoys getting underneath complex cases rather than simply processing complaints.
Role & Responsibilities:
- Managing customer complaints through the full investigation and resolution process
- Taking ownership of more complex or escalated cases
- Reviewing evidence and establishing the facts behind individual complaints
- Making balanced and commercially sensible decisions while ensuring customers are treated fairly
- Preparing clear, accurate and appropriately reasoned final response correspondence
- Carrying out root cause analysis to understand why complaints have occurred
- Identifying patterns and emerging themes across complaint cases
- Using complaint data to highlight potential conduct, customer or regulatory risks
- Sharing findings with advisers, managers and operational teams and recommending practical improvements
- Helping improve internal procedures where investigations identify weaknesses or recurring problems
- Providing guidance to colleagues on complaint handling, regulatory expectations and good customer outcomes
Do you have the following to apply?
- Minimum Level 4 Diploma in Financial Planning (or equivalent)
- A working knowledge of FCA complaint-handling requirements and regulated financial advice
- At least two years' experience within complaints, compliance, quality assurance or a closely related position
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.
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Compliance & Complaints Specialist in Leeds employer: Clayton Davies Ltd
Join a dynamic and supportive team at our client's established financial advice business, where your role as an IFA Administrator will be pivotal in delivering exceptional client service. With a strong focus on professional development, the company fosters a collaborative work culture that encourages growth and innovation, all while ensuring compliance and high standards are met. Located in a thriving area, employees benefit from a vibrant work environment and opportunities to enhance their skills in the financial sector.
