- Lead and supervise the Customer Solutions Team, ensuring efficient daily operations.
- Oversee compliance with FCA regulations, including MCOB and Consumer Duty requirements, and ensure adherence to client Service Level Agreements (SLAs).
- Conduct regular reviews of internal procedures, policies, and controls in line with the Quality Assurance and Compliance Monitoring Plan and client expectations.
- Maintain staff competence in key regulatory areas through structured training, performance reviews, and continuous feedback.
- Manage escalations in partnership with the Head of Ethics and Compliance, addressing client SLAs, customer complaints, vulnerable customer cases, and deviations from client mandates.
- Provide expert guidance to management and staff on regulatory and compliance matters.
- Act as the primary liaison with clients, upholding the firm's reputation for delivering personal, high-quality service.
- Collaborate with the IT development team to implement and continuously enhance system processes and controls.
- Proven experience in managing operational teams within FCA-regulated environments.
- CeMAP Level 2 qualification (essential).
- In-depth understanding of FCA regulatory frameworks, particularly MCOB and Consumer Duty.
- Strong leadership and communication skills with the ability to manage teams effectively.
- Expertise in handling customer complaints and managing vulnerable customer situations.
- Ability to develop and maintain strong client relationships.
- Experience working with IT teams to refine compliance systems and controls.
- Office Based – 9 AM – 5:30 PM
- 26 days holidays + Bank Holidays
- Perkbox
- Participation in charity and social activities
- Discretionary annual bonus scheme
- Wellbeing Policy & Programme – 1 day off per year to volunteer at a charity of your choice
- Private Health Insurance
- Pension contributions