Senior Investigator – Complaints

Requirements of the role

The Complaints Department sits within Risk and Compliance Oversight Division (R&CO) which performs the second line of defence function in the FCA. R&CO helps the FCA identify, assess, and report risks that threaten the FCA’s ability to deliver its statutory objectives.

This role is for a Senior Investigator as part of our Complaints team. The role involves investigating complaints by carrying out desk-based reviews and interrogating information from a wide range of sources, working on complex Complaints and supporting wider work within R&CO.

What does the role involve? What are the key responsibilities?

Investigating and leading complaints by carrying out desk-based reviews and interrogating information from a wide range of sources, including case management systems, process documents, project board papers and reports to divisional and executive committees
Taking on differing degrees of responsibility depending on their nature and complexity, including strategic planning and delegating tasks and mentoring responsibilities for junior colleagues, acting as a role model
Engaging with internal stakeholders at all levels across the FCA to build effective relationships, gather evidence to supplement document reviews, discuss root causes of issues and identify improvements. As well as being a point of contact for all stakeholders, including complainants, internal stakeholders and matters referred to the Office of the Complaints Commissioner
Forming a view on whether a weakness has been identified, understanding why it occurred in the first place and making recommendations
Using information gathered from complaints to feed into the department’s root cause analysis work
Providing coherent and compelling independent views to FCA senior management and other stakeholders on findings to ensure that the FCA continually improves its performance and service delivery and ensuring that the organisation learns lessons from events
Drafting, including preparing succinct and high-quality reports to be presented to business areas and executive-level committees, detailed, letters to complainants and stakeholders with investigation findings, and responses to internal stakeholders – all within strict time limits
This role sits in our BAU (Business as Usual) Complaints team, which as a volume driven team. This mean the successful candidate will need to work to SLAs (Service Level Agreements) including quality, progression and closure targets.

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