Business Quality & Complaints Handler, Manchester

Independent Financial Advisory firm seek a Business Quality and Complaints Handler to join the business. As part of the Business Quality and Complaints team, you will monitor the quality of advice delivered to clients and ensuring any issues are identified and dealt with in a timely and appropriate manner.

Responsibilities include:

• Conduct business quality reviews
• Assess the quality of advice and adherence to business standards and regulatory requirements
• Provide feedback to advisers and sales management on the risks identified, together with the actions necessary to manage or mitigate the risks
• Investigate complaints and expressions of dissatisfaction from clients in accordance with the regulatory requirements
• Help the business stay aware of trends and emerging risks by undertaking root cause analysis on complaints received and issues identified
• Assist in training of new advisers and paraplanners and remedial training of advisers
• Assist in ad hoc projects related to business quality

Knowledge, Skills and Experience:

• Communicating effectively with clients and stakeholders
• Providing clear, constructive feedback and rationale
• Effective time management, including prioritising work and meeting deadlines
• Decision making, using evidence to form a view and communicate rationale, including investigating complaints and determining a fair outcome
• Working effectively within a team
• Obtained or be working towards relevant Level 4 qualification
• Strong knowledge of advice process
• Knowledge of the FCA DISP requirements and understanding of the requirements from the Financial Ombudsman Service (FOS)
• Knowledge of basic retail investment products
• Industry experience in a relevant role in an FCA authorised financial services firm
• Previous experience as paraplanner or adviser preferred, however not essential