Compliance Analyst (Complaints) Hybrid

Compliance Analyst (Client Outcomes) - Cheltenham/Hybrid

About Attivo:

Attivo are Lifestyle Financial Planners.

Were a privately owned company. We prefer it that way. It means were free to do what we feel is best for our clients and our people. Our work is all about ourclients. We pride ourselves on being completely transparent open and honest an approach that builds trust with our clients and inspires their financial confidence.

Our experienced highly qualified financial specialists and expert support teams are committed to delivering more for all our clients. Our independent status and unique approach to understanding our clients their preferences and their motivation sets us apart. We will build and provide ongoing support for a bespoke financial plan aimed at fulfilment of our clients lifestyle needs.

Whether youre a private client ora business accessing our corporate services you can rely on a clear consistent service from your Financial Planner and from our experienced teams.

About the role:

The Compliance Analyst plays a key role in supporting the firms complaint handling framework ensuring end-to-end resolution for clients while maintaining full compliance with regulatory requirements and internal policies.

The role is responsible for managing investigating and reporting regulatory complaints and breaches providing oversight of service recovery and resolution and acting as a point of contact with clients for compliance and monitoring purposes. It also involves conducting root cause analysis producing clear regulatory and internal reporting and carrying out compliance monitoring activities in line with the agreed monitoring plan.

The Compliance Analyst will maintain ongoing professional development relevant to the role and deliver ad-hoc complaints training to client-facing teams to strengthen understanding and support consistent compliant outcomes across the business.

About you:

You bring strong customer service skills and a background in Financial Services with a solid understanding of financial products and the regulatory environment. You have experience investigating and resolving complaints in line with procedures and DISP requirements and are confident in handling requests from the Financial Ombudsman Service and Financial Services Compensation Scheme as well as DSAR enquiries within regulatory timescales. You are comfortable engaging directly with clients to understand outcomes including the needs of vulnerable customers and can produce clear reports for senior stakeholders while maintaining accurate records and registers.

An excellent communicator you can interpret and explain complex information clearly build strong working relationships manage competing priorities effectively and take a pragmatic approach to problem-solving and remedial actions arising from audits and reviews.

The successful candidate will need to be based at our Cheltenham Office on average 1 or 2 days a week with the option to work the remaining days remotely. We value work life balance and offer flexible working alongside our hybrid approach and we would consider an alternative working pattern for this role.

Key Responsibilities include:

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  Manage investigate and report regulatory complaints and breaches
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  Support the wider business with service recovery and resolution
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  Responsibility for client contact for compliance and monitoring purposes
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  Root cause analysis and reporting
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  Regulatory reporting to meet the needs of the business
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  Conduct Compliance Monitoring Activities as required in the monitoring plan
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  Maintain continuing professional development relevant to role
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  Ensure complaints are investigated and resolved appropriately in line with procedures and regulatory rules (DISP). Report internally and externally (where applicable) all regulatory complaints and breaches.
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  Ensure all FOS FSCS and DSAR requests are handled appropriately and within regulatory timescales.
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  Contact with clients to establish and report insight into client outcomes including vulnerable customers.
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  Provide reports for the Compliance Manager and Regulatory Oversight Board where necessary. Maintain registers as appropriate.
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  Provide support to the business on a range of issues including internal policy and regulatory supervision.
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  Ensure that remedial work identified through internal and external audits is completed in accordance with the rating system.
  

Essential skills and experience

• Strong customer service skills
• Background in Financial Services
• Knowledge of financial products and the regulatory environment
• Experience of complaints handling
• Minimum 5 GCSEs (or equivalent) including Maths and English
• Excellent communication skills both written and verbal
• Ability to interpret and explain complex information
• Ability to build and maintain excellent working relationships within a professional team
• Strong organisational and time management skills

Desirable skills and experience

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  Studying towards or having attained a Diploma in Financial Planning would be an advantage
  

Salary and benefits

Starting circa 32500 (negotiable depending on experience and qualifications)

Attivo also offers:

• Non-contributory Pension Scheme

• Private Medical Insurance
• Cashplan
• Income Protection
• Critical Illness
• Death in Service
• Parking allowance (Cheltenham only)
• Generous holiday allowance rising with length of service
• Work from home and flexible working available
• Discounted corporate gym membership
  
• Excellent culture promoting employee wellbeing and engagement.

Recruitment Policy

Attivo is committed to being an Equal Opportunities employer. If you require reasonable adjustments at any stage of the recruitment process please let us know and we will endeavour to make the process as accessible and as fair as possible.
Please be aware that any offer of employment will be subject to satisfactory completion of pre-employment vetting as outlined by the Financial Conduct Authority (FCA) . This may include but not limited to adverse financial history criminal records UK directorship and disqualifications check.
Attivo do not use recruitment agencies and we respectfully ask that agencies do not contact us in regard to posts advertised on this site.


Please visit our website to view our full privacy policy for prospective employees.

Required Experience:

Manager