Complaints Team Leader

To ensure timely and appropriate complaint resolutions in line with FCA regulation and client service delivery schedules.

Promote positive customer outcomes to ensure that Conduct Risk standards and values are instilled within the business

Oversee the maintenance of local governance and controls including:

• Adherence to all corporate policies and procedures
• Appropriate queue and people management
• Relevant client and regulatory change
• Evidence of people and process development including OpEX workflow and people competency
• Timely closure of all agreed audit actions

Deputise for Complaints Manager with regards to management of client relations and appropriate attendance and input at relevant governance meetings

To act with integrity on behalf of the business and Client, based on HCL corporate and local procedures and controls.

Ensuring the team is aware of their roles and responsibilities. Conduct regular 1-2-1’s and annual appraisals in line with core HCL principles.

Promote positive customer outcomes to ensure that Conduct Risk standards and values are instilled within the business.

Key tasks & responsibilities

• Ensuring compliance of all functions within the Complaint framework, including (but not exhaustive) internal and client procedures, FCA Dispute Resolution: Complaints and FOS and law.
• Ensuring the support of an effective and efficient Complaint’s handling function to our clients.
• Overseeing the development of case handlers, in accordance with Business demand.
• Establishing consistent and appropriate decisions methodology supported by HCL T&U.
• Liaising with internal and external parties to discuss specific complaints to achieve appropriate outcomes for customers.
• Educating and disseminating best practice for the effective handling of complaints.
• Overseeing outcomes and actions identified through conduct root cause analysis.
• Managing workloads to ensure Complaints are resolved within regulatory timeframes.
• On-going review of work processes with a view to continual improvement in the handling of complaints.
• Supporting the introduction of Internal Audit recommendations.
• Building and maintaining relationships with key internal and external stakeholders through frontline and daily contact.
• Communicate to management where processes or actions that might be contrary to Conduct Risk obligations in order that these can be managed and mitigated before they crystallize.
• Ensuring that the service is fully compliant with all current regulatory, technical, professional and industry developments. Specifically, fully embedding and maintaining a TCF culture.