Description
About the Role
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 F inancial 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 ). ...