Complaints Investigator

Salary: National ranging from £41,800 to £42,800 and London from £46,000 to £47,000
Are you interested in a role where you can help the FCA identify, assess, and report risks that threaten the FCA's ability to deliver its statutory objectives?
The team/ department
Risk & Compliance Oversight Division is responsible for:

• Defining and owning the FCA Risk Management Framework


• Providing ongoing guidance and oversight of risk management across the FCA


• Providing assurance


• Completion of Regulatory Investigations


• Compliance Oversight


• Complaints


The Complaints Team is responsible for maintaining a Complaints Scheme for the investigation of complaints about the exercise of, or failure to exercise, any of the FCA's relevant functions, ensuring it operates efficiently and effectively. The Complaints Scheme is a key accountability mechanism for the FCA.
Complaints are a barometer of the FCA's effectiveness of harm prevention/reduction, therefore how they are handled, responded to, and evaluated is vital to the FCA's success. Complaints are recognised by government as being an important indicator of performance but also of transparency and as such the Complaints Commissioner and HM Treasury (HMT)/ Prudential Regulation Authority (PRA)/ Financial Services Compensation Scheme (FSCS) are all important stakeholders. Complaints also offer insight into where the FCA can learn and improve how we operate and address harm.
We are now recruiting for a Complaints Investigator, working in our Complaints team and alongside the wider organisation.
What you will be doing (the role)

• Investigating complaints in line with the Complaints Scheme


• Working on ancillary complaints functions, including drafting detailed responses to internal stakeholders within strict time limits


• Using information gathered from complaints to feed into the department's root cause analysis work


• Making recommendations based on investigation findings to stakeholders to ensure that the FCA continually improves its performance and service delivery


• Writing letters to complainants with investigation findings and outcomes


• Liaising with the Office of the Complaints Commissioner on complaints referred to the Commissioner by the Complainant


• Liaising with Firms and Consumers on the telephone


• Being a point of contact for stakeholders at all levels


What you will get from the role

• A busy and varied caseload covering a diverse range of issues and dealing with complaint investigations that covers all areas of the FCA, including those that are complex and high-profile which are subject to media interest


• A unique insight into how the different areas of the FCA operate and be exposed to all aspects of financial regulation


• The opportunity to play a pivotal role in helping the FCA to assess its ability to deliver on its statutory goals and identifying enhancements to how the FCA works


• The opportunity to work with colleagues across the organisation


• Excellent learning and development opportunities, The FCA regulates the conduct of 50,000 firms in the UK to ensure our financial markets are honest, fair and competitive. We do this to make sure markets work well for individuals, businesses and the economy as a whole. For more information on what we do, our three-year strategy can be found

here.
The FCA's Values & Diversity
Our ambition is to cultivate a culture of inclusion for all employees that respects their individual strengths, views, and experiences. We believe that our differences and similarities enable us to be a better organisation - one that makes better decisions, drives innovation, and delivers better regulation.
The FCA is committed to achieving greater diversity across all levels of the organisations. Given this, we particularly welcome applications from women, disabled and minority ethnic candidates for our Associate role.
Flexible working
We welcome applications from candidates who are looking for flexible arrangements. Many of our staff work flexibly including working part-time, staggered hours, and job shares. We can't promise to give you exactly what you want but we won't judge you for asking.
Multi-location, The assessment process consists of an initial screening call with one our Recruitment Partners. If successful, you will be invited to complete a case study exercise and at least one round of competency-based interviews.
Application support
We want to remove any possible barriers and are committed to providing a wide range of reasonable adjustments so that you can keep the focus on your conversations and be at your best.
If you have an accessibility requirement, disability, or condition that means you might require changes to the recruitment process, please contact your recruiter to discuss this further. Our aim is to make your application as easy and comfortable as possible, and your recruiter will be happy to work with you to make any necessary arrangements where possible.
Security Clearance/Vetting (as required)
The successful candidate will hold or will be required to obtain Security Clearance (SC) level vetting.
Please note that all applications must be submitted through our online portal, applications sent via email will not be accepted.

Minimum
We are a signatory to the Government's Disability Confident scheme. This means that we will offer an interview to disabled candidates entering under the scheme, should they meet the minimum criteria for a role.

• Experience in conducting investigations or risk assessments


• Experience handling high volumes of documented evidence


Essential

• Excellent oral and written communication skills and the ability to express yourself clearly


• Knowledge of FCA regulatory and operational processes


• Team player with a proactive, flexible, and willing approach


• Good analytical skills with a high level of inquisitiveness


• The ability to remain calm in difficult situations


• Strong emotional intelligence skills


• Self-motivation and the ability to work within deadlines
  
  Our competitive flexible benefits scheme gives you the opportunity to create a personalised benefits package, tailored to suit your lifecycle. You can use this allowance to purchase additional benefits such as dental or cycle to work or you have the option top up your base salary by taking this as cash.

Core benefits that you will receive as standard are:

• 25 days holiday per year plus bank holidays


• Private healthcare with Bupa


• A non-contributory Pension of at least 8% of basic salary each month (there are several contribution levels that increase depending on your age - up to 12% a month once you reach age 35)


• Life assurance of eight times your basic salary


• Income protection