Regulatory Compliance Specialist
1 month ago
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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