Analyst
Client Services Analyst - Complaints
To handle client complaints received by the Group in accordance with regulatory requirements ensuring all complaints are managed in accordance with Treating Customers Fairly and escalate identified systemic issues.
Provide an advisory service for the Business to prevent complaints and other issues developing
Undertake the investigation and analysis of complaints and queries received by the firm and provide recommendations for the resolution of the complaint/query, escalating identified issues to the relevant parties,
Liaise with investment advisers and financial planners, providing them with guidance on potential liability /breach of FSA rules, procedures, interpretation of regulations and company policy in respect of complaints and ex gratia / ad hoc payments.
Respond to enquiries promptly, ensuring they are dealt with effectively
Liaise with relevant parties to ensure timely reporting to the Insurers/Finance of identified claims in accordance with procedures
Maintain knowledge on regulatory matters, company policies and products as appropriate
General Administrative tasks as required
QUALIFICATIONS:
Holds or is working towards the CISI Investment Advice Diploma and/or the Financial Planning equivalent.
Min of 5 GCSEs including maths and English and 2 A levels
EXPERIENCE:
Someone with relevant FOS experience at adjudicator level and/or relevant qualifications (e.g. law degree, post graduate legal qualification, economics degree, CISI exams, CII exams, CFA exams)
SKILLS:
Good analytical and research skills
Strong presentation, letter and report writing skills
Good communication, organisational, and interpersonal skills
Able to use software systems such as Microsoft Word, Access, Excel, Outlook as appropriate
Working knowledge of the FSA Handbook, LSE rules and financial services markets
Ability to deal with and resolve conflicts in a professional manner
Keen interest in investment management products and services.
Keen interest in the UK regulatory environment.
Excellent attention to detail.
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