⭐️ Compliance & Complaints Specialist

📍 One day per week out of their Yorkshire based office
💰 c.£60,000+ Benefits

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