Complaints Investigator

5 months ago

Bath, United Kingdom Novia Financial Full time

robust complaints framework appropriate to Novia Financial Plc, and for helping the business identify

operational changes that will improve customer outcomes.

Key responsibilities are the logging, acknowledgment, investigation, and final resolution of complaints to

meet our financial services regulatory timescales, including responding to the Financial Ombudsman

Service and liaising with Professional Indemnity Insurers. The Complaints Investigator may also be called

upon to investigate and analyse the root causes of complaints, and to make improvement

recommendations to the business.

Specialist Skills, Qualifications and Experience

Essential: 

Experience of working for an investment platform or pension provider. 
Experience of resolving complex issues. 
Knowledge of relevant Financial Conduct Authority (FCA) rules. 
Good attention to detail. 
Excellent writing skills, especially the ability to communicate potentially complex financial matters in a

way that customers can understand, including non-advised and vulnerable customers. 

Clear understanding of what is fair for customers. 
Ability to empathise with customers and to view our products and services from the customer’s

perspective. 

Excellent interpersonal and communication skills. 
Ownership and accountability. 
Good influencing and collaboration skills. 
Excellent drive, with ability to work unsupervised and under own initiative. 
Ability to work well under pressure and to tight deadlines. 
Working knowledge of Microsoft Office products. 
Curiosity to understand a process or issue and be able to challenge others. 

/Complaints Investigator 

Be a strong negotiator.

Desirable: 

Experience of interacting with financial advisers. 
Recent experience of pensions and/or investment complaint handling or complex customer issue

resolution. 

Ability to calculate investment losses using Excel. 
Experience of corresponding with the Financial Ombudsman Service (FOS). 
Working knowledge of the FCA's Dispute Resolution: Complaints Sourcebook (DISP). 
Knowledge of the Financial Compensation Scheme Service (FSCS). 
Experience of data analysis for regulatory reporting and internal management reporting. 
Investment Operations Certificate (IOC) or equivalent industry recognised qualification. 
Proven track record in concern for and adherence to regulatory requirements.

Key Responsibilities**: **

Complaint acknowledgment, investigation, resolution and organising. 
Corresponding with the FOS in respect of complaints. 
Maintaining sufficient complaint records. 
Providing a timely and clear response to business queries. 
Administration of logging and reporting systems used by the Customer Operations team. 
Assisting with regulatory complaint returns. 
Supporting the training and awareness of complaints. 

Ensure that the Treating Customers Fairly (‘TCF’) principles are adhered to. 
Continually focus on delivery of excellent customer service to ensure that the Company is highly valued

by our clients. 

Analysing the root causes of complaints and making recommendations for related improvements. 
Work towards own and team goals, remain flexible in outlook and continually develop self to achieve

and stretch objectives. 

Assisting in initiatives to improve and maintain quality.

You may, from time to time, be required to undertake other activities that fall within your capabilities as

directed by management.

Core Competencies:
all times.

**Operational Excellence - **Continually delivering and improving excellence for clients and customers.

**Client and Customer Focus - **Add value to client/customer, adhere to Treating Customers Fairly
principles, and operate as a true business partner.

**Communication - **Communicate clearly and concisely, tailoring content and style, with ability to make a
positive impression on others.

opportunities to contribute to policy and best practice.

/Complaints Investigator

**Working with Others - **Working successfully with others and building a network of good relationships to
achieve shared goals.

**Performance Focus - **Demonstrate energy and enthusiasm, takes ownership, delivers results and

improves personal performance.

**Why join us: **

Enjoy the best of both worlds with our hybrid working arrangement, providing you with the freedom
to work from home and collaborate in our vibrant Bath office. 

Benefit from a competitive salary package, including an annual discretionary bonus, as a reward for
your hard work and dedication. 

Take advantage of our generous holiday allowance of 34 days per calendar year, including inclusive
bank holidays, giving you the flexibility to enjoy these days off or work them if you prefer.

Additionally, we offer the flexibility to buy or sell up to 5 additional days, allowing you to tailor your

holiday entitlement to suit your needs. 

Embrace a culture tha

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