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The Financial Regulators Complaints Commissioner role is to independently review complaints about the actions or inactions of the UKs financial service regulators, the Financial Conduct Authority, the Prudential Regulation Authority, the Payment Systems Regulator, and the Bank of England (but only in respect of its oversight of clearing houses, central securities depositaries and inter-bank payment systems).
The Complaint Commissioner is appointed by His Majesty’s Treasury (HM Treasury) and reports to HM Treasury about her reports, findings and recommendations to the regulators.
More information about us can be found here: www.frccommissioner.org.uk
The Role
We have an exciting opportunity for an experienced detail oriented individual to join our small team as a Senior Investigator, to undertake complex investigations across a wide spectrum of financial services regulatory areas and write reports on these investigations for the Commissioner to consider.
Responsibilities:
* Investigate complaints by carrying out desk-based reviews and interrogating information from a wide range of sources, including regulators investigation files, process documents, regulators board papers and wider industry reports
* Assess and investigate complaints in accordance with the operational procedures and standards determined by the Complaints Commissioner and recommend a fair and reasonable decision based on the specifics of the case
* Prepare succinct reports, decision letters and correspondence – which must be clear, fair, and in Plain English – for the Commissioner to consider. Although the complaints handling process is not legal in nature, decisions must be capable of withstanding judicial review
* Ensure as appropriate that compliance with recommendations made to the regulators is monitored and evaluated
* Provide advice and guidance to members of the public or representatives of bodies within jurisdiction as required
* Keep abreast of current developments in regulation and current practices appropriate to the OCC’s jurisdiction
* Comply with Data Protection Law and OCC policies and procedures, particularly in respect of any personal data or confidential material
* Update the case management systems as necessary
* Undertake any other duties, commensurate with the skills and experience expected for this role, which from time to time may be allocated by a manager
About You
Below are some of the key essential experience, skills & knowledge required for this post
* A legally qualified professional with a minimum of 5+ years PQE (current practicing certificate is not necessary)
* Strong understanding of legal and regulatory principles
* Exceptional analytical skills with the ability to think clearly about how best to assess and analyse complex information and reach robust judgments
* Excellent written communication skills demonstratable through the writing of reports and papers into complex matters showing attention to detail, and the ability to write in Plain English
* Strong judgement, making decisions based on an assessment of the facts in complex cases, consideration of the options and providing a clear rationale for your recommendation
* Excellent communication skills with the ability to make a strong personal impact, persuading with well-reasoned arguments and challenging where appropriate
* Good stakeholder management, able to identify and manage key stakeholders, to build and maintain constructive relationships
* Excellent interpersonal skills and telephone manner, including the ability to handle difficult telephone calls sensitively and firmly
* Good organisational skills including the ability to manage competing priorities, and a challenging workload at times, showing tenacity, resilience and flexibility
* Ability to adapt to change and absorb new information and legislative change quickly
* Driven individual motivated by challenges and responding positively to them
* A good team member but with the ability to act on own initiative
* Absolute discretion and an understanding of the need for confidentiality
* Strong administrative skills and possesses strong general computer literacy and is comfortable with a variety of computer software.
* An understanding of and commitment to the 7 Principles of Public Life
* Proven experience and knowledge of the regulation of UK financial services
* Experience of working constructively with regulators, governmental or other public agencies while maintaining independence
* Previous experience of undertaking complex investigations with minimal supervision
* Writing of financial service investigation reports, including Section 166 reports.
We know that sometimes the perfect candidate doesn’t perfectly match the job description. If you are passionate about this role and believe you have the skills to succeed, we encourage you to apply even if you don’t meet every requirement.
* 12 month (full time) temporary contract (possibility of the role turning permanent)
* Payment will be made based on a day rate equivalent to £90,000-£100,000 per annumvia an Umbrella company or to a Limited company
* Office Location: 12 Caxton Street London SW1H 0QS
If you are interested please forward your cv to If you are interested, please forward your CV and references to recruitment@frccommissioner.org.uk
Please note we are unable to take any telephone calls connected with recruitment: all correspondence will be email based
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