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To ensure timely and appropriate complaint resolutions in line with FCA regulations and client service delivery schedules.
Promote positive customer outcomes to ensure that Conduct Risk and Consumer Duty standards and values are instilled within the business.
Oversee the maintenance of local governance and controls including, but not limited to:
* Adherence to all corporate policies and procedures
* Appropriate queue and people management
* Relevant client and regulatory change
* Evidence of people and process development including workflow and people competency
* Timely closure of all agreed audit actions
Work closely with clients to ensure that The Customer Relations team is working within prescribed client complaint frameworks.
Attend and lead regular Complaint-based Client calls.
Represent HCL on monthly Client Assurance meetings.
To act with integrity on behalf of the business and Client, based on HCL corporate and local procedures and controls.
Ensure the team is aware of their roles and responsibilities. Ensure that regular 1-2-1’s and annual appraisals are completed in line with core HCL principles.
Promote positive customer outcomes to ensure that Conduct Risk and Consumer Duty standards and values are instilled within the business.
Key tasks & responsibilities
* Ensure compliance of all functions within the Complaint framework, including (but not limited to) internal and client procedures, FCA Dispute Resolution: Complaints and FOS and law.
* Support an effective and efficient Complaint handling function for our clients.
* Oversee the development of case handlers, in accordance with Business demand.
* Establish consistent and appropriate decision-making methodology supported by HCL T&U.
* Liaise with internal and external parties to discuss specific complaints to achieve appropriate outcomes for customers.
* Educate and disseminate best practices for effective complaint handling.
* Expand on the existing Root Cause Framework.
* Oversee outcomes and actions identified through conduct root cause analysis.
* Manage workloads to ensure complaints are resolved within regulatory timeframes.
* Continuously review work processes for continual improvement in complaint handling.
* Support the implementation of Internal Audit recommendations.
* Build and maintain relationships with key internal and external stakeholders through frontline and daily contact.
* Communicate to management any processes or actions that might be contrary to Conduct Risk and Consumer Duty obligations to enable mitigation before issues arise.
* Ensure full compliance with all current regulatory, technical, professional, and industry developments, specifically embedding and maintaining a TCF culture.
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