Compliance & Complaints Specialist

Clayton Davies Ltd; Leeds; Hybrid; GBP 32,000 - 45,000; Part time

Job summary

Clayton Davies Ltd is seeking an experienced Compliance & Complaints Specialist to join its Risk & Compliance function. The role focuses on regulated complaints handling, compliance and quality assurance, providing in-depth investigations rather than basic processing.

The position requires hands-on analysis of complex cases, thoughtful final responses, and robust root-cause analysis to identify patterns and drive improvements across teams.

Qualifications

• Minimum Level 4 Diploma in Financial Planning (or equivalent).
• Working knowledge of FCA complaint-handling requirements and regulated financial advice.
• At least two years' experience within complaints, compliance, quality assurance or a closely related position.

Responsibilities

• Managing customer complaints through the full investigation and resolution process.
• Taking ownership of more complex or escalated cases.
• Reviewing evidence and establishing the facts behind individual complaints.
• Making balanced and commercially sensible decisions while ensuring customers are treated fairly.
• Preparing clear, accurate and appropriately reasoned final response correspondence.
• Carrying out root cause analysis to understand why complaints have occurred.
• Identifying patterns and emerging themes across complaint cases.
• Using complaint data to highlight potential conduct, customer or regulatory risks.
• Sharing findings with advisers, managers and operational teams and recommending practical improvements.
• Helping improve internal procedures where investigations identify weaknesses or recurring problems.
• Providing guidance to colleagues on complaint handling, regulatory expectations and good customer outcomes.

Skills

Complaint handling

Regulatory compliance

Quality assurance

Education

Level 4 Diploma in Financial Planning

Job description

One day per week out of their Yorkshire based office

Our client is a leading wealth management firm who are seeking an experienced Compliance & Complaints Specialist to join its Risk & Compliance function.

This is an excellent opportunity for someone with a strong background in regulated complaints handling, compliance or quality assurance who enjoys getting underneath complex cases rather than simply processing complaints.

Role & Responsibilities:

• Managing customer complaints through the full investigation and resolution process
• Taking ownership of more complex or escalated cases
• Reviewing evidence and establishing the facts behind individual complaints
• Making balanced and commercially sensible decisions while ensuring customers are treated fairly
• Preparing clear, accurate and appropriately reasoned final response correspondence
• Carrying out root cause analysis to understand why complaints have occurred
• Identifying patterns and emerging themes across complaint cases
• Using complaint data to highlight potential conduct, customer or regulatory risks
• Sharing findings with advisers, managers and operational teams and recommending practical improvements
• Helping improve internal procedures where investigations identify weaknesses or recurring problems
• Providing guidance to colleagues on complaint handling, regulatory expectations and good customer outcomes

Do you have the following to apply?

• Minimum Level 4 Diploma in Financial Planning (or equivalent)
• A working knowledge of FCA complaint-handling requirements and regulated financial advice
• At least two years' experience within complaints, compliance, quality assurance or a closely related position

Due to the high volume of applications received we are unable to respond to everyone directly. If you are not contacted within 7 working days, you have unfortunately not been shortlisted.

Clayton Davies is acting as an employment agency on behalf of our client.