Complaints and Regulatory Resolution Manager
2 weeks ago
Job Description
">MERJE Ltd is seeking an experienced Complaints Handler for a leading wealth management firm. This role offers a challenging opportunity to join a central compliance team, managing complaints across multiple entities and liaising with regulatory bodies.
This established wealth management firm is known for its comprehensive financial advisory services. With a focus on excellence and regulatory compliance, the company offers a dynamic environment for professionals looking to advance their careers in the financial sector.
The Role:
- Manage and resolve client complaints, ensuring regulatory compliance
- Liaise with the Financial Ombudsman Service (FOS) and PI insurers
- Conduct root cause analysis and provide feedback to improve processes
- Prepare monthly reports for internal committees
- Draft final response letters to clients in line with regulatory expectations
Requirements:
- Extensive experience in complaints handling, preferably in a similar firm
- Strong knowledge of independent financial advice products and services
- Excellent time management skills and ability to handle competing priorities
- Team player with the ability to work independently
- Diploma in Regulated Financial Planning (CII / CISI) or Diploma in Governance, Risk & Compliance
Estimated Salary: £45,000 per annum
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