Compliance and Complaints Specialist

ONE DAY PER WEEK OUT OF THEIR YORKSHIRE OFFICE Our client is a leading wealth management firm who are seeking an experienced Compliance and Complaints Specialist to join its Risk and 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 and 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 Do you have the following to apply? Minimum Level 4 Diploma in Financial Planning (or equivalent) A working ..... full job details .....