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.
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