Client area

We are recruiting a Head of Client Resolution. This is a Home-based role with travel to company offices as required.

Reports to:

Head of Compliance Advisory (HOCA)


Home based, travel to offices as required

Hours of work:


SMCR Function:

This is a Conduct Role

Purpose of role:

Responsible for the day-to-day management of the complaints team, all client complaints including the end-to-end process for resolution, reporting to the wider business and driving improved client outcomes.

Key Responsibilities:


  • Investigate and resolve complaints to a satisfactory resolution for both the client and the business.
  • Liaise with PII, making relevant notifications, preapproval of client correspondence and ensuring required reporting is done on a timely and accurate basis.
  • To produce high quality written communication, and to communicate verbally with external parties and clients until matters are resolved.
  • Ensure that a full and detailed audit trail is on file for each complaint case, with clear notes and all relevant documentation.
  • To accurately complete and maintain the Complaints Register so it reflects the current position of complaints received at any time.


  • To ensure all complaints are managed within regulatory timescales as per DISP.
  • To identify and analyse the root cause of complaints across the business and to develop solutions in conjunction with other departments, to minimise reoccurrence.
  • To build relationships with all areas of the business to ensure there is focus on continuous improvement and the avoidance of future complaints.
  • To review the outcome FOS decisions ensuring any learnings are understood and appropriate actions taken.
  • To maintain internal and external complaints procedures and ensure these are made available.
  • To assist with the design and delivery of Complaint training to the wider business.
  • Manage and develop the complaints team to ensure they are motivated, effective and provide excellent support to all parties both internally and externally.
  • Review client correspondence produced by team members to ensure letters issued are of a high standard.

Key Responsibilities continued:


  • To escalate areas of concern to HOCA, including potential high redress cases, trends identified and emerging risks to the business.
  • Completion of RegData FCA complaint returns and notify HOCA when FCA notification events occurs such as redress payments over £50K and advisers with 3+ upheld complaints in a 12-month rolling period.
  • To regularly produce management information and reports for relevant internal committees and to present this information when required to do so.
  • To regularly update Finance with potential redress provision.

SM&CR Responsibilities

As an FCA regulated Company, Ascot Lloyd are required to adhere to the Senior Managers and Certification Regime (SM&CR), to develop a culture where employees take personal responsibility for their own actions.

Individual Conduct Rules

  1. You must act with integrity
  2. You must act with due care, skill and diligence
  3. You must be open and co-operative with the FCA, PRA and other regulators
  4. You must pay due regard to the interests of customers and treat them fairly
  5. You must observe proper standards of market conduct

Experience / Skills Required:

  • Complaint Manager experience (Wealth) – minimum 5 years
  • Thorough understanding of end-to-end operation and client services processes in an IFA environment
  • Demonstrable experience within Financial services, with a working knowledge of FCA regulations.
  • Experience of working as a key member of a successful team
  • Experience of producing presentations and reports for senior teams and Execs.
  • Ability to analyse data and produce recommendations for improvements.
  • Ability to prioritise and work to deadlines
  • Excellent communication skills, both written and oral.
  • Strong analytical and report writing skills.
  • Ability and willingness to work with areas of the business outside of compliance at all levels to achieve desired outcomes
  • Confidence and ability to support own views with evidence, and a willingness to challenge senior colleagues appropriately if required
  • Ability to navigate differing requirements and priorities within the team to achieve desired results
  • Discretion and confidentiality
  • Working knowledge of MS Office – including Excel, Work, Outlook and PowerPoint
  • Experience of working successfully in a target driven, operational environment
  • Experience of completing Root Cause Analysis and following through of appropriate actions

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