Job Title: Complaints Specialist
Location: Hybrid in Rochester or remote in united kingdom
This is a great opportunity to join a financial planning firm within the Compliance Department, reporting directly to the Compliance Director. In this role, you will investigate and resolve pension advice and service-related complaints with accuracy and efficiency, while managing all aspects of the organisation’s complaints policies, procedures, and processes.
Key Responsibilities
- Complaint Management: Handle end-to-end complaint processes from initial acknowledgment through resolution, including redress calculations and escalations to the Financial Ombudsman Service (FOS).
- Root Cause Analysis: Conduct root cause analysis for complaints, escalating issues and providing actionable solutions to improve processes.
- Professional Communication: Liaise with the FOS, Professional Indemnity insurers, and third-party outsourcers, coordinating as needed for Defined Benefit (DB) redress calculations.
- Data and Reporting: Prepare data and management information (MI) reports for internal committees and regulatory reporting.
Skills Requirements
- Qualifications: DipFA Level 4 required (AF7 beneficial).
- Experience: At least 3 years in a similar complaints role in wealth management or financial planning, with pension advice expertise.
- Complaint Handling Expertise: Experience with redress calculations, FOS escalations, root cause analysis, MI production, and regulatory reporting.
- Regulatory Knowledge: Strong understanding of FCA-regulated complaints DISP requirements.
