Role Overview
Investment Management and Financial Planning firm, located in Liverpool, are currently looking to hire a Complaints Specialist on a 12 month fixed term contract. Working with the Compliance Team, the role will handle FCA regulated Complaints related to Investments, and will work closely with the Financial Ombudsman Service (FOS).
Experience within Investments / Financial planning is essential, and backgrounds across Complaints, File Review, Paraplanning would be very suitable. Relevant qualifications including level 4 diploma would also be an essential requirement.
Key responsibilities include:
- Assist in the initial triage/assessment of ‘expressions of dissatisfaction’ to determine whether they meet the FCA definition of an ‘eligible complaint/eligible complainant’
- Ensure client ‘expressions of dissatisfaction’ are investigated effectively and impartially through to resolution and make a final decision on the merits of the complaint
- To be a point of contact for the front office throughout the lifecycle of a complaint.
- To ensure work is completed to a high standard of delivery and accuracy, including the maintenance of supporting records and audit trails.
- To identify root cause on issues to resolve service issues in line with best practice methods.
- Preparing periodic regulatory reporting, and producing monthly internal management information.
- To maintain a good knowledge of the relevant regulatory requirements and to ensure these are reflected in the company’s complaints policy and procedures.
- As required, to visit other Group offices.
Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.