Regulatory Compliance Specialist

1 month ago


Liverpool, Liverpool, United Kingdom Rev & Regs Full time
Complaints Analyst (12-month FTC)

Rev & Regs is seeking a skilled Complaints Analyst to join our team in Liverpool. As a key member of our Complaints team, you will play a crucial role in providing an impartial, efficient, and effective end-to-end complaints handling service.

Key Responsibilities:
  • Maintain expert knowledge of relevant regulatory requirements, including DISP, and ensure these are reflected in our complaints policies and procedures.
  • Triage initial expressions of dissatisfaction in line with the FCA's definition of an 'eligible complaint / eligible complainant.'
  • Manage the Complaints Inbox efficiently and effectively.
  • Be a point of contact for the wider business throughout the lifecycle of a complaint.
  • Investigate and handle complaints in a consistent manner, including those referred to the Financial Ombudsman Service (FOS).
  • Make decisions on complaint outcomes and produce clear, comprehensive, and professionally written letters within FCA rule requirements.
  • Maintain all associated complaint records for audit purposes and update the complaints software - Respond.
  • Produce management information on a regular basis and report six-monthly to the FCA.

Requirements:

  • Complaint handling experience in a wealth management organisation.
  • Highly professional communication manner - letter, email, telephone.
  • Ability to prioritise and work to deadlines within set service standards, company guidelines, and regulatory requirements.

Location: Hybrid (2 days per week in Liverpool office)



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