£25,000 - £35,000
This is an exciting opportunity to join one of the UK’s most innovative Financial Services firms. The company are passionate about partnering with high-quality, forward thinking companies to provide innovative technology to streamline their infrastructure, growth capital to further develop the companies, or discretionary investment solutions to drive your proposition. Offering a tailored solution to deliver value to Financial Adviser firms and their clients.
The overall purpose of the role is to assist and support the Complaints manager in handling complaint investigations, working with the Quality & Risk and Compliance teams, completing all administrative tasks.
- Apply a risk-based and common-sense approach to the compliance monitoring and complaints processes.
- Liaising with other team members where relevant in respect of relevant complaints
- General document management
- Assist in producing internal or external communications
- Assist in collating and assessing relevant management information (MI)
- Take on tasks and projects as delegated by the Complaints Manager, Compliance Director or Compliance Manager or undertake tasks which are deemed necessary, applying a can-do attitude and timely approach
- Update manuals, procedures and documentation as required
- Complete tasks to a high standard, and apply initiatives to accommodate for wider issues
Required Skills and Experience
- A good level of knowledge of the Financial Services industry experience, preferably in retail/IFA environment
- Some understanding of FCA rules and their interpretation/application
- Highly developed analytical, observational, written and verbal communication skills
- Minimum of Level 4 Diploma in Financial Services, with progress towards the achievement of further qualifications desired
- Relevant experience of dealing with complaints and complaints handling