Regulatory Complaints Analyst

  • Location


  • Discipline:

    Risk Management

  • Job type:


  • Salary:

    £25,000 - £30,000

  • Consultant:


  • Email:


  • Job ref:


  • Published:

    about 2 years ago

Leading firm within the Life and Pensions sector are looking to hire a Regulatory Complaints Analyst to be based out of their West Midlands based head office.  The business are keen to see applicants from within their own sector, or candidates who have gained experience with similar products in sectors such as Financial Advice.  The head office is a short train journey from the Birmingham, and is easily commutable from areas around the West Midlands to include Wolverhampton, Telford, Kidderminster, Shrewsbury, Stourbridge and Stafford.


Key responsibilities include:

  • Investigate complex and non-complex sales complaints adhering to the company’s complaints handling procedures, ensuring a full, fair and robust investigation is conducted and evidenced on file and through use of the complaint database system ‘Respond’.
  • Ensure a positive relationship with the customer and where possible communicate with the customer over the telephone to data gather and deliver the complaint decision.
  • Ensure the customer is kept informed of the progress of their case, in a clear, timely and accurate manner. Liaise effectively with all appropriate reference points as required by the demands of each individual case.
  • Taking into account the evidence gathered regulatory rules, current/best practices, company and FOS guidance, to make informed decisions to reach a fair conclusion of the individual case.
  • Recommend and authorise complaint redress, within agreed authorisation limits and seek appropriate review and sign off where necessary.
  • Ensure a positive relationship and effective liaison with all Ombudsman and professional bodies is maintained by prompt communication and information sharing, fostering a culture of respect and fairness.
  • Assist in identifying trends in complaints received and product issues ensuring any emerging risks or concerns are appropriately escalated, fully investigated, reported and any customer impact evaluated and resolved.
  • Conduct agent business reviews as required, ensuring assessments are made in order to demonstrate any risk has been fully investigated, any customer impact evaluated and with poor customer outcomes addressed fairly and promptly.
  • Assist in the efficient integration of the complaint handling functions of acquired businesses.
  • Maintain appropriate record keeping in accordance with Regulatory and business requirements.

The Person

  • Ideally educated to ‘A’ level standard recognised equivalent.
  • Good knowledge of Financial Services products specifically life and Pensions
  • Detailed knowledge of FCA complaint handling environment and legislation.
  • Preferably attained or studying toward the CII Certificate in Financial Planning (CFP) Qualification (or equivalent). 
  • Desirable: Knowledge of requirements for salesforce structure and controls.


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