Complaints and Regulatory Resolution Manager

2 weeks ago


London, Greater London, United Kingdom MERJE Ltd Full time

Job Description

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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:

  1. Manage and resolve client complaints, ensuring regulatory compliance
  2. Liaise with the Financial Ombudsman Service (FOS) and PI insurers
  3. Conduct root cause analysis and provide feedback to improve processes
  4. Prepare monthly reports for internal committees
  5. 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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