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- Tasks: Lead and resolve financial planning complaints while ensuring compliance with regulations.
- Company: Join a well-established wealth and financial planning firm with a strong reputation.
- Benefits: Enjoy a competitive package and flexible work options, including one day in the London office.
- Why this job: Shape the future of a growing function and make a real impact in financial planning.
- Qualifications: DipPFS Level 4 qualified with experience in handling financial complaints preferred.
- Other info: Training provided for the right candidate; excellent opportunity for career growth.
The predicted salary is between 43200 - 72000 £ per year.
A well-established wealth and financial planning firm is expanding its Advice Complaints function and seeking an SME and a Lead Manager to help shape and develop this area.
Key responsibilities include:
- Managing and resolving regulated complaints related to Financial Planning advice.
- Ensuring compliance with FCA regulations and engaging with key stakeholders such as the Financial Ombudsman Service and PI brokers.
- Overseeing investigations, maintaining governance standards, and providing Management Information reporting.
- Developing and enhancing complaints processes while mentoring and supporting team members.
About You:
- Experience in handling or remediation of complaints in advice within financial planning (DipPFS Level 4 Qualified).
- Strong knowledge of FCA complaints regulations and ability to handle complex cases.
- Excellent organisational skills, with the ability to manage multiple tasks in a fast-paced environment.
- Experience in managing a team preferable, although not essential as training can be provided for the correct individual.
- Ability to work 1 day in the London office a week.
This role offers a competitive package and the opportunity to influence the direction of a growing function within a respected firm.
Financial Planning Complaints Manager employer: Mason Blake
Contact Detail:
Mason Blake Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Financial Planning Complaints Manager
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and guidelines related to financial planning complaints. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance and governance.
✨Tip Number 2
Network with professionals in the financial planning sector, especially those who have experience in handling complaints. Engaging with industry peers can provide valuable insights and may even lead to referrals for the position.
✨Tip Number 3
Prepare to discuss specific examples of how you've managed or resolved complex complaints in the past. Highlighting your problem-solving skills and ability to handle challenging situations will set you apart from other candidates.
✨Tip Number 4
Showcase your leadership potential by discussing any mentoring or team management experiences you have, even if they are informal. This will demonstrate your capability to support and develop team members, which is a key aspect of the role.
We think you need these skills to ace Financial Planning Complaints Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in handling complaints within financial planning. Emphasise your DipPFS Level 4 qualification and any relevant achievements that demonstrate your knowledge of FCA regulations.
Craft a Compelling Cover Letter: In your cover letter, explain why you are passionate about financial planning and how your skills align with the role. Mention specific experiences where you've successfully managed complaints or improved processes.
Showcase Your Organisational Skills: Provide examples in your application that illustrate your ability to manage multiple tasks effectively. This could include situations where you balanced various responsibilities or led a team through a challenging project.
Highlight Stakeholder Engagement: Discuss your experience working with key stakeholders, such as the Financial Ombudsman Service or PI brokers. This will demonstrate your ability to navigate complex relationships and ensure compliance with regulations.
How to prepare for a job interview at Mason Blake
✨Know Your Regulations
Make sure you have a solid understanding of FCA regulations related to complaints. Brush up on the latest guidelines and be prepared to discuss how you've applied them in past roles.
✨Showcase Your Experience
Be ready to share specific examples of how you've managed or resolved complaints in financial planning. Highlight any complex cases you've handled and the outcomes, as this will demonstrate your expertise.
✨Demonstrate Leadership Skills
Even if you haven't managed a team before, think about times when you've mentored or supported colleagues. Discuss your approach to developing others and how you can contribute to the team's growth.
✨Prepare for Stakeholder Engagement
Since the role involves engaging with key stakeholders like the Financial Ombudsman Service, prepare to discuss your experience in stakeholder management. Think about how you would handle difficult conversations and maintain professional relationships.
