Financial Planning Complaints Manager

Mason Blake; London; Hybrid; GBP 45,000 - 80,000; Full time

Job summary

An established industry player is seeking a Lead Manager to enhance its Advice Complaints function. This role involves managing regulated complaints, ensuring compliance with FCA regulations, and mentoring a team. You'll have the opportunity to influence the growth of this function within a respected firm, making a significant impact on its operations. If you have a strong background in complaint handling and are passionate about financial planning, this position offers a competitive package and a chance to shape the future of the firm. Join a dynamic environment where your skills will be valued and developed.

Qualifications

• Experience in handling complaints in financial planning is essential.
• Strong knowledge of FCA regulations and ability to manage complex cases.

Responsibilities

• Manage and resolve regulated complaints related to financial planning advice.
• Ensure compliance with FCA regulations and oversee investigations.

Skills

Complaint Handling

FCA Regulations Knowledge

Organisational Skills

Team Management

Education

DipPFS Level 4 Qualified

Job description

A well-established wealth and financial planning firm is expanding its Advice Complaints function and seeking an SME and a Lead Manager to help shape and develop this area.

Key responsibilities include:

• Managing and resolving regulated complaints related to Financial Planning advice.
• Ensuring compliance with FCA regulations and engaging with key stakeholders such as the Financial Ombudsman Service and PI brokers.
• Overseeing investigations, maintaining governance standards, and providing Management Information reporting.
• Developing and enhancing complaints processes while mentoring and supporting team members.

About You:

• Experience in handling or remediation of complaints in advice within financial planning (DipPFS Level 4 Qualified).
• Strong knowledge of FCA complaints regulations and ability to handle complex cases.
• Excellent organisational skills, with the ability to manage multiple tasks in a fast-paced environment.
• Experience in managing a team preferable, although not essential as training can be provided for the correct individual.
• Ability to work 1 day in the London office a week.

This role offers a competitive package and the opportunity to influence the direction of a growing function within a respected firm.