Complaints Handler

3 weeks ago

United Kingdom Seven Investment Management LLP Full time

The Compliance Advisory team sits within Risk and Compliance and currently covers the Complaint Handling function. The team is responsible for advising 7IM Group on best practices and standards in relation to general compliance matters.

The role is broad and offers exposure to a variety of teams, internal processes and key stakeholders across the business. Primary responsibility for this role includes handling and managing the investigation and resolution of complaints, as well as compiling management information on complaints and submitting FCA returns regarding complaints data.

Whilst the role is focused on assuming responsibility for the complaints handling process, the role will have the scope to support the wider compliance advisory team as and when required.

Responsibilities

  • Provide support with the investigation and resolution of regulated complaints including:
  • Recognising and classifying complaints, with a view to delivering fair and consistent consumer outcomes in a prompt and clear manner.
  • Responsibility for keeping clear records of all complaints received and outcomes including updating the internal incident management tool.
  • Constructing appropriate acknowledgement, summary resolution and final response letters.
  • Managing and ensuring any agreed complaints resolution is actioned.
  • Undertaking relevant root cause analysis and communicating identified risks and control gaps to relevant teams and management.
  • Escalating any material risks or complaints to the Senior Compliance Advisory Manager, Head of Compliance Advisory or Chief Risk Officer, as appropriate.
  • Acting as a key contact point for the Financial Ombudsman Service (FOS) and assisting with preparation of any files or information required by the FOS.
  • Providing complaints updates to 7IM’s insurers, as and when required.
  • Regularly reviewing our internal policy and procedures for handling and managing regulated complaints, to ensure compliance with FCA rules
  • Assisting with the preparation and submission of the FCA RegData complaint returns
  • Developing internal awareness regarding complaint identification, and assisting with delivering complaints related training to staff.
  • Contributing to the production of the Compliance management information including the Complaints dashboard in an accurate and timely manner
  • Providing cover as necessary for the Compliance Advisory team including providing advice relating to Personal Account Dealing, Gifts & Hospitality and reviewing financial promotions and marketing material.
  • Assisting with regulatory change projects and delivery of other compliance initiatives.
  • Working actively with the 7IM business teams to answer questions and resolve issues
  • Given the nature of this role, your actions should align with upholding the FCA's Consumer Duty principles, thereby contributing to fair and beneficial outcomes for our clients.
About You

Knowledge

  • Relevant compliance experience in retail financial services including handling regulated complaints
  • Legal, compliance or financial services qualification or related degree would be desirable for this role
  • Knowledge of the relevant FCA sourcebooks including DISP, SYSC and COBS
  • A good general awareness of the financial services industry and financial markets
  • A strong commitment to compliance principles and practices
  • Good awareness of aspects of the regulatory environment relevant to the role.
Skills/Other relevant information
  • Good written and oral communication skills including experience dealing with complaint clients
  • Strong problem-solving skills with a ‘’can do’’ approach to work.
  • Must be a professional of high ethical standards with a constant eye on the objectives of the business.
  • Team player able to build strong working relationships with internal and external stakeholders.
  • Able to effectively prioritise and manage workloads independently.
  • Process discipline and attention to detail
  • A pragmatic approach to facilitate appropriate interpretation of rules and procedures in a compliant and business aware manner
About Us

7IM was founded in 2002 by a team of escapees from the world of big corporate finance who wanted to start the kind of organisation they’d like to invest with themselves. Our seven founders gathered in a basement and made plans to care for clients’ money by taking a structured and disciplined approach. Their aim was to achieve steady returns over the long term, always with an eye on risk, using up-to-the-minute technology. They wanted everyone to have access to the sort of service and expertise that institutional investors would expect.

We’ve evolved on our journey. In 2018, we acquired Tcam Asset Management, a firm we felt closely aligned with our investment philosophies and multi-asset approach. As part of our long-term growth strategy, we acquired the award-winning London-based financial planning firm Partners Wealth Management (PWM) in 2020, followed by the acquisition of Amicus Wealth, a leading advisory firm that offers a broad spectrum of financial planning expertise, in 2023. Both PWM and Amicus Wealth will continue to operate as independent companies, retaining their brand, identity and leadership. In 2024, Ontario Teachers’ Pension Plan joined us as a major shareholder, backing the current management team to continue and boost 7IM’s high-growth story.

Our team, our clients and our funds under management have grown steadily over the years. From our offices in London and Edinburgh, more than 500 talented people manage over £20 billion for a range of clients, including individuals and families, financial advisers, corporates, charities and trustees.

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