Legal Counsel (1-5 years PQE)
UBS Wealth Management is looking to employ an individual with legal and financial services experience to investigate and handle client complaints. A contentious background in law / complaints handling would be helpful to the role, as would sufficient knowledge and understanding of financial services' business and the principles relating to Treating Customers Fairly.
The individual will be a member of a Complaints Handling Unit and report into the Head of the Unit which forms part of the Disputes Resolution Team in the Legal and Compliance department. However, the role will require the individual to work reasonably autonomously. They will act as the central point of contact for all client complaints and will be required to investigate, assess the merits of and respond to the complaints in accordance with FSA rules and internal complaints handling procedures. This role will provide the individual with significant exposure to all functions of the bank and it is therefore important that the individual possesses strong inter-personal skills and an ability to adapt quickly to situations.
Role:
1. Investigating, managing and responding to complaints (some of which can be complex) including complaints which have been referred to FOS;
2. Liaising with and presenting to other functions within the bank as part of the investigative and training role of the CHU;
4. Perform root cause and trend analysis of complaints;
5. Assisting and working on management reports, complaint trend reports, internal and external audits of complaints and other complaint derived information;
6. Assisting in the identification of risk issue and working with the business to remediate.
Please note our advertisement uses PQE levels purely as a guide. However, we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.
The role would suit someone who is also organised with excellent documentation management skills and who works well under pressure, often with a demanding workload.
Other key competencies required for the role include good investigative and communication skills (particularly drafting skills), being a quick thinker, an ability to balance the interests of the bank and its underlying clients, a problem solver, analytical, detail orientated, thoughtfulness with an enquiring approach.
An interest in extending work into the more contentious work of the broader Disputes Resolution Team would be an advantage
UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.
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