Complaints Policy & Governance Specialist

Hargreaves Lansdown Asset Management Limited; Bristol; Hybrid; GBP 45,000 - 60,000; Full time

Job summary

A leading asset management firm in Bristol is seeking a Complaints Policy & Governance Manager to enhance the Client Services department. The successful candidate will ensure compliance with FCA regulations and fair treatment of complainants, providing SME expertise and overseeing quality assurance within the team. Applicants should have significant experience in financial services, particularly in quality assurance. A flexible working pattern is available, allowing work from home to promote a balanced lifestyle.

Benefits

Discretionary annual bonus

25 days holiday plus bank holidays

Flexible working options

Pension scheme up to 11% employer contribution

Enhanced parental leave

Private medical insurance

Gym memberships and wellbeing apps

Qualifications

• Significant previous experience undertaking Quality Assurance.
• Previous experience within operational or client-facing financial services environment.
• Demonstrate knowledge and understanding of pensions and investment products.

Responsibilities

• Provide complaints SME expertise to the Complaint Handling Community.
• Undertake risk-based Quality Assurance of complaints process.
• Ensure fair client outcomes and adherence to FCA rules.

Skills

Excellent knowledge of Financial Services and relevant Complaints and Consumer Duty regulation

Strong problem-solving skills

High quality communication skills

Ability to build and maintain a network

Strong organisation and prioritisation skills

Job description

Excited to grow your career?

Our purpose is to empower people to save and invest with confidence. We are looking for great people to join us, so please come and invest in YOUR future at HL.

We know that sometimes people can be put off applying for a job if they don't tick every box. If you're excited about working for us and have most of the skills or experience we're looking for, please go ahead and apply. We'd love to hear from you!

About the role

An exciting opportunity has arisen to join our Client Services department as a Complaints Policy & Governance Manager. We have one permanent position and one FTC position (9 months) available.

The Client Services team operate within and focus on the FCA Complaints, Consumer Duty and Vulnerability regulations. You will be responsible for ensuring that we are treating complainants fairly, providing good Client outcomes and are handling complaints in line with our regulatory obligations. The ideal candidate will also be able to influence the organisation by providing complaints insight/SME expertise to ensure policies, processes and products are designed to deliver Good Client Outcomes.

What you'll be doing

• Providing complaints SME expertise to the Complaint Handling Community and wider HL.
• Undertaking risk-based Quality Assurance of the 'End to End' complaints process for colleagues to attain and maintain their complaint handling competence.
• Evidencing that HL are providing fair client outcomes and adhering to the relevant FCA rules and regulations.
• Overseeing Quality Checking within Client Services ensuring we are appropriately training new Complaint Handlers and attaining/maintaining competence.
• Enhancing and evolving Complaints Training and Competence and QA frameworks.
• Managing risks and maintaining effective controls through control testing.

About you:

• Excellent knowledge of Financial Services and relevant Complaints and Consumer Duty regulation.
• A passion for providing fair outcomes to HL's clients and demonstrate HL's values in all aspects of the role.
• Significant previous experience undertaking Quality Assurance.
• Previous experience within operational or client-facing financial services environment.
• Be able to demonstrate knowledge and understanding of pensions and investment products.
• An objective independent thinker, not afraid to challenge rationales and approaches to complaint management.
• High quality communication skills.
• The ability to build and maintain a network across HL at all levels of seniority.
• Excellent organisation and prioritisation skills with the ability to prioritise workload, work autonomously and meet deadlines.
• Strong problem-solving skills, able to identify root causes and set effective actions to prevent re-occurrence.

Desirables:

• Complaint handling experience.
• Vulnerability regulation experience.
• Risk & Controls experience - including control testing.

Interview process

This will be a two-stage interview process, consisting of a competency/behavioural based interview and a task.

Working Schedule

We have one permanent and one 9 month FTC position available for this role. This role is full time, 37.5 hours per week, Monday to Friday. We have returned to the office, however for this role we offer a flexible working pattern, enabling you the option to work from home.

Why us?

Here at HL, we're the UK's number 1 investment platform for private investors, based in Bristol. For more than 40 years we've helped investors save time, tax and money on their investments.

To achieve our mission, we believe we have a workplace like no other, with constant learning, dynamic teams, and a great ethos. We're steered by core values that promote service, quality, innovation, and opportunity in everything we do.

What's on offer?

• Discretionary annual bonus\* & annual pay review
• 25 days\* holiday plus bank holidays and 1-day additional Christmas closure time
• Option to purchase an additional 5 days holiday per year at annual enrolment
• Flexible working options available, including hybrid working
• Enhanced parental leave
• Pension scheme up to 11% employer contribution
• Sharesave scheme - have a real stake in HL's future
• Income Protection & Life insurance (4 x salary core level of cover)
• Private medical insurance\*
• Health care cash plans - including optical, dental, and outpatient care
• Help@hand and an Employee Assistance Programme
• Gympass - gym memberships and wellbeing apps available
• Variety of travel to work schemes with free bike storage and shower facilities
• An inhouse barista serving subsidised coffee and snacks
• Join HL's sports, I&D networks and volunteering groups (two paid volunteering days per year)
• LifeWorks Discounts on services, restaurants and retailers

\* dependant on role level

Hargreaves Lansdown is an inclusive employer that values diversity in its workforce. We encourage applications from all individuals without regard to race, religion, gender, sexual orientation, national origin, disability or age.

This role may also be available on a flexible working or part time basis - please ask the Recruitment & Onboarding team for more information.

Please note, we are unable to provide employment sponsorship to candidates.