Complaints Specialist

Broadgate; England; On-site; GBP 30,000 - 45,000; Full time

Job summary

A dynamic financial planning firm seeks a Complaints Specialist to manage the lifecycle of complaints, ensuring compliance with FCA regulations and improving processes. The ideal candidate will have a Level 4 qualification in Financial Planning and extensive experience in complaint handling, particularly in wealth management.

Qualifications

• Minimum of three years’ experience managing complaints in financial services.
• Expertise in assessing pension advice-related complaints.
• Strong knowledge of FCA DISP complaint handling regulations.

Responsibilities

• Manage lifecycle of complaints and ensure resolution within regulatory timeframes.
• Produce data and MI reports for compliance and management.
• Investigate root causes of complaints and propose corrective actions.

Skills

Complaint Management

Regulatory Knowledge

Root Cause Analysis

Data Reporting

Education

Level 4 qualification in Financial Planning (Dip PFS or equivalent)

Job description

A dynamic and fast-growing financial planning firm is looking for a Complaints Specialist who’s not afraid to dig deep, listen actively, and bring clarity to complexity. If you’re passionate about fairness, regulatory standards, and making things right—you’ll thrive here.

This is more than case-handling. It’s about protecting trust, improving processes, and being the calm in the storm.

Key Responsibilities:

• Manage the full lifecycle of complaints, from acknowledgement to resolution, including redress calculations and FOS escalations
• Handle multiple complaints simultaneously, ensuring all are resolved within regulatory timeframes
• Act as the main point of contact for all FOS communications
• Liaise with third-party providers for defined benefit (DB) redress calculations
• Serve as the primary liaison for Professional Indemnity insurer queries
• Investigate root causes of complaints, identify trends, escalate issues, and propose corrective actions
• Collaborate across departments and all levels to share complaint insights and updates
• Produce data and management information (MI) reports for committees and regulatory submissions
• Maintain up-to-date expertise on complaint handling regulations, acting as the internal subject matter expert

What You Bring:

• Holds a Level 4 qualification in Financial Planning (Dip PFS or equivalent)
• Possesses a minimum of three years’ experience managing complaints within a wealth management or financial planning environment
• Demonstrated expertise in reviewing and assessing pension advice-related complaints
• Strong knowledge of FCA DISP complaint handling regulations
• Solid understanding of complex pension advice
• Experienced in end-to-end complaints handling, including FOS, root cause analysis, PI insurers, and MI reporting