Associate - Complaints Handling

1 month ago

London, United Kingdom Compliance Professionals Full time

**THE COMPANY**:
Our client is one of the UK’s leading wealth managers. They offer a range of bespoke services to their clients which consist of both individuals and organisations.

**THE RESPONSIBILITIES**:

- Undertake the recording, triaging investigation and analysis of complaints received by the Group in accordance with regulatory requirements, provide recommendations for the resolution of the complaints.
- Ensure that regulatory timescales for complaints handling are consistently maintained.
- Ensure maintenance of complete records providing a clear audit trail for complaints.
- Calculate detriment to clients in accordance with industry standards, Financial Ombudsman Service guidance and internal precedent.
- Identify and escalate the systemic issues and trends to relevant parties.
- Advise and support the Business on the prevention of complaints.
- Carry out training, workshops and one to one training to raise the profile of good complaints handling, preventative measures and awareness of Group procedures.
- Maintain knowledge on regulatory matters, company policies and products.
- Liaise with investment managers and financial planners, providing them with guidance on potential liability/breach of FCA rules, procedures, interpretation of regulation and company policy in respect of complaints.
- As required, assist with production of management information and reports.

**EXPERIENCE REQUIRED**:

- Prior relevant industry experience in a complaint handling role within an independent/whole of market organisation in financial services
- Financial Ombudsman Service experience
- Good knowledge of own department and an understanding of how the role contributes to the Risk & Compliance business strategy.
- Proactively develops technical knowledge of regulations through relevant CPD, courses, exams.
- Shows willingness to learn new approaches to accomplish work activities.
- Takes responsibility for developing links to wider teams and departments.

For further information please contact Marcus Courtney

**Location**:
London

Specialism:
Monitoring

**Salary**:
£ Competitive salary

Type:
Contract

Reference:
18732

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