As an established forward-thinking financial services consultancy and managed service provider, TCC helps its clients solve their most pressing compliance challenges through a combination of deep regulatory expertise and next-generation technology.

We are seeking a File Reviewer, whose role will be to investigate complaints relating to suitability of advice on a variety of products including pensions and investments. End to end complaint handling, including file review, decision making and redress. Diploma Level 4 Qualification is essential (i.e. Diploma in Financial Advice and Diploma in Financial Planning).

This is a full-time, hybrid working role on a 12-month fixed-term contract starting in or around January 2025. You will be based in a Bradford office for a minimum of three days each week and the remaining days can be worked from home.

Responsibilities

• Review assigned cases as per established process, policies and standards
  
• Produce the appropriate decision for each case to the quality standards in place
  
• Produce clear and concise customer communications including FDLs
  
• Complete accurate and timely file notes on any customer communication
  
• Update required system records in an accurate and timely manner
  
• Identify areas and opportunities where process can be improved, both internally and client processing
  
• Take the initiative and escalate issues in advance of activity becoming more complicated for TCC
  
• To be signed off as competent and remain competent on allocated product work streams within agreed time frames and within the T&C Scheme
  
• Manage client projects/work streams as required by the business
  
• Take ownership for personal development, including the study for role specific qualifications and actively prepare for 121
  QA files as required
  
• Deal with telephone queries on helpline from stakeholders
  
• Undertake ad hoc duties as assigned
  
• Undertake training of less competent team members
  

Qualifications

• Diploma Level 4 qualification is essential (i.e. Diploma in Financial Advice or Diploma in Financial Planning)
• Minimum 5 GCSEs/O levels grade A-C including English and Maths

Skills

• Excellent computer skills
  
• Manage own workload to achieve targets
  
• High verbal and non-verbal communication skills
  
• Self-motivated and able to motivate others
  
• Ability to identify and inform team leader of issues or opportunities to improve
  
• Prioritise daily work and deliver to SLA
  
• Co-ordinate multiple activities and hit deadlines
  
• Understand, work to and develop and improve process
  
• Able to deal with complex issues and difficult client/customer situations
  
• Able to work under pressure and deliver production and quality at pace
  
• Strong attention to detail

Experience & Knowledge

• Working experience of DISP rules and FOS rights
• Experience of regulated products such as investments, savings, pensions, SIPPs
• Strong suitability of advice file review or complaints handling experience
• Good knowledge of regulatory environment
• Confident and adept at handling customer engagement through all types of media e.g. telephony
• Sound client-facing experience or experience of working in a client services arena
• Solid background and experienced in dealing with clients in either an operational role or face to face with clients
• Experience of successfully working in a fast-paced and changing environment