IFA Complaints Handling Officer (Financial Advice) - Remote
We are looking for an experienced Compliance Officer for our client! This will primarily be a remote working position, but an office will be available to be used in Farnborough if desired. You will mainly be responsible for reviewing customer complaints and disputes that have been made against the firm, in accordance with the procedural and timescale requirements of the FCA. You will also be responsible for maximising any risk mitigation across the company by providing proactive management of customer complaints and disputes, implementing industry best practice and by supporting the Advisers in ensuring the provision of compliant advice.
- To administer the systems utilised by the Customer Relations function, ensuring accurate and timely input and update of all case details, and producing regular reports to provide assurance to the Company and their management that customer complaints or disputes have been managed and resolved in line with the procedural and timescale requirements of the FCA and Consumer Duty.
- To manage a personal caseload of customer complaints, ensuring resolution in line with the procedural and timescale requirements of the FCA and Consumer Duty.
- To provide timely and accurate reporting to meet the requirements of the FCA complaint handling returns
- To work with business line management to develop the Company-wide knowledge of complaint management standards, in order to improve the ongoing efficiency and effectiveness of the Customer Relations process.
- To analyse complaint nature and throughput on a regular basis, and to undertake trend and root cause analysis in order to recommend to the T & C Manager actions to improve advisory practices and minimise the incidence of customer complaints and disputes.
- To ensure appropriate input to key project and business development initiatives across the Company, through active liaison and participation in Project Teams, facilitating clear channels of communication with key business areas and the provision of a proactive compliance policy and risk consultancy service.
- To establish and maintain communication and partnership-working processes in order to ensure that all internal customers are aware of and accept their responsibilities for operating a compliant and risk-managed framework within their business functions.
- To develop and undertake a programme of continuing professional development, in line with the Risk Management and
- Compliance culture of continuous improvement and self-managed development.
Key Behaviours and Competencies
- Customer Focus
- Embracing Change
- Act with Integrity
- Team work
- Strong written communication skills
- Verbal and written resolution / dispute management skills
- Strong analytical problem-solving skills
- Excellent knowledge of the regulatory regime and the requirements and guidance in respect of customer complaint handling issued by the FCA and other appropriate legislative, regulatory, governmental or Industry bodies.
- Good knowledge of current Industry best practice.
- Not less than 3 years experience in a customer relations, compliance or advisory role within an FCA-regulated retail environment.
- Financial Services experience is essential preferably obtained in a investment and pensions environment.
- Not less than 3 years experience in a customer relations, compliance or advisory role within an FCA-regulated retail environment. Full Financial Planning Certificate.
Our client offers the flexibility of remote working, and a competitive benefits package. If you are interested in applying for this position, then please forward a copy of your CV to firstname.lastname@example.org
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