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Regulatory Complaints Manager

2 weeks ago

London, United Kingdom Davies Resourcing Full time

My client is a leading Investment and Wealth Management firm. Due to business growth and acquisition the firm are seeking to expand the Compliance team and a newly created role has arisen to focus on providing advice to the business in relation to handlingclient complaints correctly and promptly. Working as part of the Compliance team, this a key role working closely with the business in an advisory capacity.

You will be responsible for
- Advising the business on best practice and legislation ensuring compliance with regulatory requirements and the firm’s Compliance Policies and Procedures.
- Build and maintain positive working relationships with the business areas to promote a strong compliance culture.
- Support the handling of client complaints, ensuring adherence to the documented Complaints Handling framework.
- Produce Management Information for governance committees, senior management and the Board.
- Provide support to the other Compliance teams, such as Monitoring & Testing, Financial Crime, Regulatory Developments and Strategy.
- Assist with providing regulatory input to projects, supporting on Compliance projects, working as part of a team and leading work streams.
- Assist in the implementation of Compliance policy and the establishment of in-house controls
- Assist in designing training material and the delivery of training to the wider business.
- Assist management in ensuring that the Group conducts itself in accordance with FCA regulatory compliance, the Conduct Risk framework, the Consumer Duty and industry best practice.
- A strong compliance background within Wealth Management, Investment Management or Private Banking.
- Some knowledge and experience of handling regulatory complaints and acting in an advisory capacity.
- Good product and investment management knowledge, including investment suitability.
- A working knowledge of UK regulations including COBS, TC, COCON, SYSC, SUP, PROD, DTR, DISP, Consumer Duty and Conduct Risk.