Senior Associate

2 weeks ago

London, Greater London, United Kingdom Financial Conduct Authority Full time
The Role


Complaints are a barometer of the FCA's effectiveness of harm prevention/reduction, therefore how they are handled, responded to, and evaluated is vital to the FCA's success.


Complaints are recognised by government as being an important indicator of performance but also of transparency and as such the Complaints Commissioner and HMT/ PRA / FSCS are all important stakeholders.

Complaints also offer insight into where the FCA can learn and improve how we operate and address harm.


We are now recruiting for a Complaints Senior Investigator, working in our Complaints team in the Risk and Compliance Oversight Department and alongside the wider organisation.

What does the role involve? What are the key responsibilities?

The primary role will be acting as complaints investigator:

  • Investigating the most complex complaints independently and impartially, in line with the Complaints Scheme. Including writing decision letters to complainants with investigation findings and outcomes.
  • Making recommendations based on investigation findings to stakeholders to ensure that the FCA continually improves its performance and service delivery.
  • Liaising with the Office of the Complaints Commissioner on complaints referred to the Commissioner by the Complainant
  • Liaising with Firms and Consumers on the telephone
  • Providing technical support to complaints investigators
  • Taking accountability for the efficient delivery of specific assigned functions and processes in the team
  • Role modelling best practice for complaints handling
  • Providing support and cover for the activities of a lead investigator


A complaints investigator also plays a pivotal role in helping the FCA to assess its ability to deliver on its statutory objectives and identifying enhancements to how the FCA works.

In addition, the team offers excellent learning and development opportunities.

About You

Minimum skills

  • Experience of report writing
  • Experience of mentoring others
  • Experience working in an analytical role the ability to seek out relevant information to provide clear understanding of complex issues.
  • Experience of FCA regulatory and operational processes.
Essential skills

  • Drive and motivation able to deliver outcomes proactively to agreed standards and to tight deadlines.
  • Ability to communicate technical issues
  • Flexibility able to respond quickly to changing priorities.
  • Strong collaboration and teamwork skills.
  • Excellent stakeholder management skills the ability to establish, develop and maintain effective relationships with a wide range of stakeholders.
  • Ability, and desire, to follow process.
  • Excellent decisionmaking skills.
  • Excellent organisational and prioritisation skills able to work simultaneously on a variety of different cases with different deadlines.
Desirable skills

  • Recent complaints handling or equivalent investigation experience.
  • Legal training and / or experience of working in an environment requiring legally sound analysis and decision making.
Useful Information

  • This role is graded at Senior Associate level
  • Regulatory
  • The position is available at Edinburgh, Leeds or Stratford (London)
  • London Salary Range: £53,300 to £84,000
  • National Salary Range: £49,700 to £75,500
  • The selection process will involve CV screening, a case study exercise and at least one round of competencybased interviews.
  • Applications will close at midnight on the 21st April 2023
About the FCA

At the FCA, we're creating a fair and more resilient financial system.

We're establishing more transparent relationships between financial services and their customers, building trust in financial markets and protecting vulnerable consumers.

Divisional Information


Risk & Compliance Oversight help the FCA identify, assess, and report risks that threaten the FCA's ability to deliver its statutory objectives.


The Division is responsible for:

  • Defining and owning the FCA Risk Management Framework
  • Providing ongoing guidance and oversight of risk management across the FCA
  • Providing assurance
  • Completion of Regulatory Investigations
  • Compliance Oversight
  • Complaints


The Complaints Team is responsible for maintaining a Complaints Scheme for the investigation of complaints about the exercise of, or failure to exercise, any of the FCA's relevant functions, ensuring it operates efficiently and effectively.

The Complaints Scheme is a key accountability mechanism for the FCA.

The FCA's Values & Diversity


Our ambition is to create a diverse and inclusive workplace that reflects the society we serve, helping us to be a better regulator.

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