Policy Services Limited
Job Description: Complaints & Investigations Manager
Primary Job Functions:
Policy Services, a subsidiary within the St James’s Place Group (SJP) provides
advisory and servicing to retail clients. As a result of internal promotion and
the increased regulatory pressures facing the firm, a need has arisen for a
Complaints and Investigations Manager to manage Complaints and Risk Events
within the compliance team.
Job specification:
Monitoring:
Undertake Complaints and Risk Event Monitoring tasks (e.g. root cause analysis
monitoring)
Management Reporting:
Supporting Head of Compliance with communication of regulatory and
industry changes that affect the management of Complaints to all staff.
Manage, record and review ongoing operational risks and Risk Events.
Preparation of monthly Risk Event management information.
Manage the production of all company complaint reporting and management
information in conjunction with the Head of Compliance.
Preparation of Risk Event and Complaints management information for
quarterly Risk Oversight Forum, including root cause analysis.
Collation and provision of 6 monthly Complaints MI to SJP, with Head of
Compliance oversight.
Regulatory Reporting:
Manage the collation and preparation of Complaints regulatory returns for
review and submission by the Head of Compliance.
Complaints:
Investigate and resolve complex and non- complex client Complaints within the
regulatory timeframes. Liaising with the SJP Complaints team, Financial
Ombudsman, business stakeholders, and SJP Partners as required.
Conduct a analyse root cause analysis exercise to help identify trends or
inconsistencies.
Manage complaint trends and consistencies in conjunction with the Head of
Compliance, by recommending and agreeing action with the relevant team
leaders and/or Heads of Area.
Incidents:
To record, investigate and monitor business Risk Events to resolution. Co ordinate with other PSL staff to help resolve business incidents.
Conduct a analyse root cause analysis exercise to help identify trends or
inconsistencies
Manage Risk Event trends and consistencies in conjunction with the Head of
Compliance, by recommending and agreeing action with the relevant team
leaders and/or Heads of Area
Daily tasks:
Review and resolve Complaints & Risk Event requests from any SJP Partnership
compliance team and provide the relevant information where appropriate.
Provide technical Complaints and Risk Event support and answer queries from
other PSL departments.
Maintain the PSL Complaints and Risk Event registers. Liaise with Head of
Compliance regarding the implementation of any action identified.
Monitor and resolve Compliance Helpdesk Complaints and Risk Event actions
and communications in a timely manner in accordance with departmental
standards.
Deal with other appropriate tasks as directed by Head of Compliance and the
Risk and Compliance Director.
PII Insurance – Complaints Data:
Collate Complaints data and commentary in the preparation of the renewal
application for the company professional indemnity insurance questionnaire
(prepared annually) in conjunction with the Head of Compliance.
Training:
Prepare and present annual Complaints and Risk Event training to all staff at All
Staff Meeting.
Prepare and provide ad-hoc Complaints and Risk Event training to new
members of staff.
Complaints Procedures:
Ownership and management of Complaints procedures including annual
review and ad-hoc updates in the event of regulatory or internal procedure
changes.
Salaries and Benefits:
Salary - £32,000 to £35,000 (dependent on experience and qualifications)
Hours are Monday – Thursday 9am-5pm and Friday 9am-4pm.
Non-Contributary Company Pension Scheme Available after qualifying period
Flexitime
Birthday Holiday
On Site Gym
Life Insurance Scheme
Company enhanced sick pay after qualifying period
Company enhanced maternity & paternity pay after qualifying period
Private Healthcare after qualifying period
Candidates should have the following attributes:
- Clear communicator and facilitator with excellent written and verbal communication skills, excellent people skills are also required
- Highly organised, strong time management skills and numeracy skills.
- A high level of attention to detail
- Excellent knowledge of Microsoft Office (including the use of Co-pilot)
- The ability to take initiative to ensure the office operates in an efficient and compliant manner
- Reliable, resourceful, conscientious, and approachable
- Able to act with discretion in relation to sensitive information.
- Ability to work independently when required
- Ability to manage processes independently.
Education:
Educated to Scottish ‘Higher’ level (SQF6) (minimum)
Appropriate professional qualifications (e.g. CII/LIBF Certificate/Level 3 or
equivalent) preferred.
Experience:
5 years+ financial services experience essential.
Good experience of Complaints regulations, investigation and management.
Strong knowledge of financial services market and product ranges
Knowledge of FCA Rules including, DISP, Treating Customers Fairly (TCF) and
The Consumer Duty.
Knowledge of FCA Reg Data reporting system requirements (desirable)
Excellent relationship skills, a high level of interaction with key stakeholders
across the business is expected.
Please note: From the end of October 2026, our office will relocate to Callendar Business Park, Falkirk. The successful candidate will therefore be required to work from this location.
Pay: £32,000.00-£35,000.00 per year
Benefits:
- Company pension
- Employee discount
- Enhanced paternity leave
- Flexitime
- Life insurance
- On-site gym
- On-site parking
- Private medical insurance
- Sick pay
Work Location: Hybrid remote in Linlithgow
