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Client Services Team Analyst (Investment Complaints) (Job Ref:15351)

Investment Banking , Asset Management , Stockbroker | Monitoring | Permanent | Up to 50,000 pa + benefits | City - London

THE COMPANY:

Our client is one of the UK’s leading wealth managers. They offer a range of bespoke services to their clients which consist of both individuals and organisations.

 

THE RESPONSIBILITIES:

  • Understand broader company strategy and business plans for Regulation and Risk with particular focus on complaints handling requirement
  • Liaise and assist as required with other company Risk & Compliance Functions, Group Internal Audit in all matters pertaining to complaints handling requirements for Risk & Compliance
  • Escalate and report any concerns identified to your manager together with plans/mitigating activities and recommendations.
  • Other liaison and stakeholder management to ensure the business’ compliance and reputation is maintained and developed.
  • Undertake complaints handling
  • Where there are issues identified, liaise with the manager in escalating these to the appropriate areas
  • As required, assist with investigations, report findings and make suitable agreed recommendations
  • As required, report findings and make suitable agreed recommendations
  • Participate in business meetings or committees as and when required.
  • Escalate to the Manager any regulatory issues which have been identified during the course of day to day activities of complaints handling
  • Raise awareness across the Group of the roles and responsibilities of the Risk & Compliance Function and specifically the Client Services Team
  • Be aware of changing legislation, regulation and Group policy relating to complaints handling for the UK, Jersey and Guernsey and Dublin.
  • Maintain knowledge on industry events, regulatory matters, company policies and procedures as appropriate.
  • Participate effectively in reviews to support continuous performance, skills and behaviours improvement in the role.
  • Input to development of key systems and business processes to support cost effectiveness and efficiency of function and team
  • As required provide complaints reporting that proactively meets internal and external customer needs
  • Assist with the development of effective team reporting
  • Ensure high standards of file documentation are maintained, evidencing a fair complaint investigation
  • Ensure the Client Services database is kept updated on case progress for reporting purposes.
  • Proactively keep ahead of market developments which may impact future direction and company strategy
  • Maintain an effective working knowledge of EU, UK Irish, Jersey & Guernsey regulatory requirements to ensure new policies/procedures are introduced as appropriate

 

EXPERIENCE REQUIRED:

  • Must have Relevant experience in Investment complaints handling
  • Experience of working for the Financial Ombudsman Service (must be Investment complaints)
  • Knowledge of relevant regulations, legislation and processes to guide business areas and team members.
  • Good awareness of current financial legislation and regulation

 

For further information please contact Hannah Tabatabai

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