Complaints and Compliance Officer - Financial Services - South West - Remote/hybrid - excellent benefits - eFinancialCareers : Job Details

KEY RESPONSIBILITIES

• Respond to escalated complaints by impartially investigating the circumstances and communicating a decision through a final response letter, in a clear and empathetic way.
• Maintain up to date data and records for complaints.
• Collate complaints reporting for Management Information (MI).
• Support business areas with complaints handling and queries.
• Report to senior management on the performance of the various areas handling clients with regards to complaints and errors.
• Represent the company where members pursue their complaint through the Ombudsman.
• Collating information from various departments for the business’s conduct risk scorecard and reporting to the Head of Compliance.
• Assisting Compliance Executive with ensuring the Compliance Manual, Policies and Guidance Notes are accurate and up-to date.
• Performing compliance monitoring reports and providing recommendations on processes.
• Ensuring the business communicates in a way which is clear, fair and not misleading by conducting regular audits and inspections of its website and social media posts.
• Monitor the business’s complaint process to ensure that it complies with FCA ‘Dispute Resolution (DISP)’ rules.
• Assisting with collating information for DSAR’s.
• Support with administrative tasks in both the Compliance and Complaints Teams.

OTHER RESPONSIBILITIES

• Adhere to the Financial Conduct Authority Individual Conduct Rules, and The Exeter’s Expectations

EXPERIENCE AND QUALIFICATIONS

• Have experience working in the regulated financial services industry.
• A basic working knowledge of Insurance is desirable.
• The ability to assess complaints objectively, sympathetically and fairly.
• Must have the right to work in the UK.

PERSON PROFILE

• Excellent organisation and prioritisation skills.
• Excellent communication skills, across all platforms.
• Competent letter writing capability.
• Able to work at a fast pace and manage interruptions.
• Good relationship builder with excellent team working skills.
• Excellent customer service and ability to deal with difficult and unusual situations.