Head of Complaints

Clayton Davies Ltd; London; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A leading national financial advisory firm is seeking a Head of Complaints to lead their complaint function and uphold high standards of regulatory compliance and customer service. The ideal candidate will have extensive experience in complaints handling and knowledge of FCA regulations. Responsibilities include managing the complaints team and driving continuous improvements. This role offers a 12-month fixed-term contract and is flexible across the UK.

Qualifications

• Extensive experience in complaints handling within an IFA or wealth management environment.
• Strong knowledge of FCA regulatory requirements, especially DISP rules.
• Proven track record in managing a complaints team.

Responsibilities

• Lead the complaints team and provide direction.
• Ensure compliance with FCA DISP rules.
• Monitor trends and report to the Board.
• Foster a culture of fairness and improvement.

Skills

Complaints handling

Leadership

FCA regulatory knowledge

Influencing senior management

Job description

Flexible locations UK wide

Our client is a leading national (IFA) firm, dedicated to providing high-quality, client-focused financial advice across the UK. As they continue to grow, they are looking for a highly skilled and experienced Head of Complaints on a 12 month FTC to lead their complaint's function and ensure they maintain the highest standards of regulatory compliance and customer service.

As Head of Complaints, you will take overall responsibility for the effective management, oversight, and resolution of complaints across the firm. You will ensure that all complaints are handled fairly, promptly, and in line with FCA rules and industry best practice. You will also play a key role in identifying root causes, driving continuous improvements, and ensuring the voice of the client is central to our business operations.

Role & Responsibilities:

• Lead the complaints team, providing direction, support, and development opportunities.
• Oversee the end-to-end complaints handling process, ensuring compliance with FCA DISP rules and internal policies.
• Act as the firm's subject matter expert for complaints handling, providing guidance to senior management and advisers.
• Monitor trends and root causes, reporting to the Board and driving process improvements.
• Liaise with the Financial Ombudsman Service (FOS) and other external bodies where required.
• Ensure complaint MI is accurate, timely, and insightful to inform strategic decisions.
• Foster a culture of fairness, accountability, and continuous improvement.

Do you have the following to apply?

• Extensive experience in complaints handling within an IFA, wealth management, or investments environment.
• Strong knowledge of FCA regulatory requirements, particularly DISP rules.
• Proven track record of managing a complaints team and influencing at senior management level.

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.