Posted by Zoe Lowrey Recruitment Adviser

We are currently recruiting for a Complaints Adviser to join our Compliance department on a 12 month fixed term contract basis.

The complaints area is responsible for ensuring that identified complaints are investigated and concluded efficiently. At Transact we always aim to provide the highest level of customer service so our complaints team perform a vital role of not only using feedback to put things right but to improve the service we provide in the future.

About Us

Transact is the leading independent investment wrap platform in the UK. Established in 2000, we have over £53.5 billion of funds under direction (as March 2022) on behalf of over 6,600 advisers and 218,000 investor clients. Our service includes an online platform, owned and built by us, and dedicated regional adviser support to help bring clients’ assets and investments together in a smarter, more tax efficient way. We offer access to a wide range of tax wrappers (including ISAs, pensions and life insurance investment bonds) and funds which advisers use to build client investment portfolios. Portfolio valuations, purchases and sales are all supported via Transact Online which is available 24/7. Transact’s parent company, IntegraFin Holdings plc, is listed on the London Stock Exchange and is a constituent of the FTSE 250 index.

The Role

As a complaints adviser you will not only handle complaints and their investigation but also support the team in compiling accurate and informative management information as well as preparing and submitting complaints reports to the FCA. Liaising both internally and externally with stakeholders for training and consultation purposes is another important aspect of the role.

Role responsibilities include:

  • Recognising and classifying complaints requiring resolution.
  • Delivering fair, consistent and prompt consumer outcomes.
  • Producing high quality correspondence between the firm and its clients, regulators and the Financial Ombudsman Service.
  • Keeping clear and accurate records of all complaints received and of complaint outcomes.
  • Identifying trends and complaint root causes to improve service delivery.
  • Assisting with the collation and analysis of data to ensure accurate and timely delivery of management information.
  • Assisting with the preparation and submission of the FCA complaints returns.
  • Developing the awareness of staff regarding complaint identification and resolution, and assisting with complaints related training when necessary.
  • Keeping complaints policies, manuals and leaflets up to date, communicating changes internally.
  • Maintaining good knowledge of, and providing high quality advice to, the business on applicable FCA rules.
  • Assisting with the delivery of regulatory change projects and other compliance initiatives.
  • Providing help and guidance to other Compliance team members in relation to queries.
  • Contributing towards relevant internal and external consultations, discussions and policy debates.

    • This vacancy would suit an individual with strong experience in a customer facing role, ideally in a financial services or a professional services organisation. A legal, compliance or financial services qualification or related degree would be desirable for this role. As the Complaints Adviser you will have a solid understanding of retail financial products including ISAs and pensions and will also have the ability to maintain good knowledge of, and provide high quality advice to, the business on applicable FCA rules. Strong interpersonal skills are a necessity to be successful in this role as well as clear and concise written communication skills.

    Equal Opportunities

    We provide a diverse and inclusive workplace and ensure that all of our staff respect and understand individual differences. We are an equal opportunities employer and positively encourage applications from suitably qualified and eligible candidates regardless of age, disability, gender reassignment, marital or civil partner status, pregnancy or maternity, race, religion or belief, sex or sexual orientation.