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Complaints Handler

  • City of London, London
  • Permanent
  • £35,000 to £40,000

Job details.

Complaints Handler - National Investment Management Organisation - London, Hybrid

Salary to £40,000 plus comprehensive company benefits package

Our client are a National organisation who are dedicated to providing exceptional investment management services to their clients. They are currently seeking a motivated and experienced individual to join their Compliance Advisory team. This team plays a crucial role in ensuring compliance with regulatory requirements and upholding the trust and satisfaction of their clients.

Role Overview: As a Complaints Handler, you will be an integral part of the Risk and Compliance division, specifically focusing on the Complaint Handling function. You will be responsible for managing the investigation and resolution of complaints, ensuring fair and consistent outcomes for their clients. Additionally, you will collaborate with various internal teams and stakeholders to identify and address any compliance issues effectively.


  • Recognise, classify, and investigate regulated complaints, ensuring prompt and fair resolution.
  • Maintain clear records of all complaints and outcomes using internal incident management tools.
  • Prepare and deliver acknowledgement, summary resolution, and final response letters to complainants.
  • Conduct root cause analysis and communicate identified risks to relevant teams and management.
  • Escalate material risks or complaints to senior management as necessary.
  • Serve as a key contact point for external bodies such as the Financial Ombudsman Service and insurers.
  • Review and update internal policies and procedures to ensure compliance with FCA rules.
  • Assist with the preparation and submission of FCA RegData complaint returns.
  • Develop internal awareness of complaint identification and deliver related training to staff.
  • Contribute to the production of Compliance management information, including Complaints dashboard.
  • Provide cover for the Compliance Advisory team and assist with regulatory change projects.


  • Previous experience in retail financial services compliance, particularly in handling regulated complaints.
  • Legal, compliance, or financial services qualification (such as Diploma qualifications) or related degree preferred, but not essential
  • Excellent written and oral communication skills, with experience dealing with clients.
  • Ability to build strong working relationships with internal and external stakeholders.
  • Effective prioritization and workload management skills.
  • Attention to detail and a pragmatic approach to interpreting rules and procedures.

On offer:

  • Competitive basic salary of up to £40,000 plus company benefits including; up to 8% Pension contribution, DIS, Income Protection
  • Range of flexible benefits
  • 27 days holiday plus BH
  • Study Support
  • Plenty of opportunities for personal development and progression within a genuine market leader
  • Hybrid working
  • Discretionary annual Bonus


  1. Financial Services
  2. Financial Planning
  3. Asset & Investment Management

Benjamin Holmes

Founder & Key Account Manager

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