Complaints Adviser, Regulatory Relations 40-45k 12 - City of London, United Kingdom - Alexander Lort

Alexander Lort
Alexander Lort
Verified Company
City of London, United Kingdom

3 weeks ago

Tom O´Connor

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Tom O´Connor

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Description

Our Client, a listed company and market leader is a provider of investment services to the financial advisor community. It provides dedicated regional adviser support to help bring clients' assets and investments together in a smarter, more tax efficientway.


As a complaints adviser you will not only handle complaints and their investigation but also support the team in compiling accurate and informative management information as well as preparing and submitting complaints reports to the FCA.

Liaising both internallyand externally with stakeholders for training and consultation purposes is another important aspect of the role


General Responsibilities

  • Assisting with the delivery of regulatory change projects and other compliance initiatives.
  • Providing help and guidance to other Compliance team members in relation to queries.
  • Contributing towards relevant internal and external consultations, discussions and policy debates.
  • Contributing to the delivery of timely and effective reporting to the Boards, Committees and Forums, Group Counsel and Head of Compliance on Compliance activity and projects.
  • Networking effectively internally and externally to ensure work is delivered smoothly internally and to be able to benchmark Group practices.
  • Taking responsibility for designing, producing and managing compliance processes and management information or providing advice to specific business areas.
Key Performance measures

  • The results of FOS reviews and monitoring, in respect of complaints decisions, show that we are delivering fair outcomes for clients.
  • Procedures are up to date and have been reviewed at relevant review dates.
  • Annual training has been updated and delivered to all staff.
  • Accurate MI and regulatory returns have been issued within specified time limits. Education and Knowledge Requirements

Essential

  • Educated to Degree level or with equivalent experience.
  • Basic understanding of financial services industry 3years of FS experience required.
  • Basic understanding of retail financial products including ISAs and pensions.
  • Good Excel, Word and PowerPoint skills

Desirable
Legal, compliance or financial services qualifications or related degree.

  • Knowledge of relevant regulatory requirements and of the DISP and COMP FCA sourcebooks.
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