Level 4 Qualified Pensions & Investments Complaint Handler

  • Working from home
  • Contract
  • Per Day £250 - £250

We are looking for experienced Pension and Investment Complaint Handlers who are Level 4 qualified (RO4, Diploma in Regulated Financial Planning or equivalent). The project you will be joining involves reviewing the “customer's journey,” examining how different pension and investment products were sold, whether correct and appropriate procedures were followed, and if correct advice was given. To be a part of this project, you will need experience dealing with complaints in the pension and investment field, specifically complaints around suitability and advice from advisors.
Location: Remote
Rate: £250 per day (inside IR35)
Hours: Monday - Friday, 8 hours per day

  • Complete review work on the customer journey to understand and determine the nature and effectiveness of the advice on pension and investment products.
  • Act as a subject matter expert on investment and pension products, including OEICs, both ISA and non-ISA, Onshore and Offshore Bonds, and SIPPs.
  • Review complex cases.
  • Produce unbiased and detailed reports on outcomes.
  • Work with pension products, primarily SIPP wrappers containing underlying funds, in both accumulation and decumulation phases.
  • Work with investment products such as OEICs, both ISA and non-ISA, and Bonds.
  • Handle complaints related to Venture Capital products like VCTs and EIS schemes and DB pension transfer advice.
  • Support and offer guidelines to colleagues on different investment and pension products.
  • Conduct case reviews, assess various provider responses, and progress cases through an agreed process flow.
  • Review data and evidence gathered to assess the eligibility of potential compensation.
  • Liaise with relevant third parties via phone when required.
  • Adhere to regulatory guidelines from FCA and COMP rules.
  • Generate required response letters.
  • Work within a claims management workflow system.
  • Ensure a focus on data protection.
Essential Experience:-
  • Must have a Level 4 qualification within Investments and Pensions (RO4, Diploma in Regulated Financial Planning or equivalent).
  • Experience in dealing with customers in a regulated financial services environment.
  • Experience in reviewing complaints within the Pensions and Investment field is a MUST.
  • Ability to demonstrate decision-making using a holistic approach.
  • Excellent attention to detail and accuracy.
  • Ability to work within demanding deadlines (workflow & time management).
  • Ability to attain and maintain specified quality and production targets.
If you are a qualified Pensions and Investment complaint handler, send your CV to Diana Duggan Associates without delay!