Business Assurance Manager – Complaints Handling

 London, United Kingdom       Permanent contract        Other job functions


Description of the Business Line or Department

The Commercial department is responsible for implementation and the development of the business through intelligent planning, reliable operations, providing a robust governance framework and creating productive relationships with the Private Banking, Wealth Planning and Credit teams.

Due to the variety of different roles within the Commercial team from Marketing, Communications, KYC, Governance and Project management. The Commercial team is able to facilitate supporting the Bankers, the Investment team and Wealth Planning when providing a service to our clients.

Summary of the key purposes of the role

·       Investigate complex complaints including Ombudsman referrals and or cases which involve litigation.

·       Oversee the client complaint process ensuring timeliness and quality of response

·       Sample controls of complaint handling performed by team leaders

·       Undertake root cause analysis of the complaints received

Summary of responsibilities


·       Work in collaboration with the group wide Business Assurance team to undertake the timely execution of all necessary first line of defence control activity.

·       Investigate complex, cases referred to an Ombudsman and any cases involving litigation, as and when received, being independent from the area about which the complaint has been made, or has arisen; thereby ensuring client’s rights are protected by investigating the matter outside the area about which the complaint has been received

·       Provide feedback to Front Office staff and ensure the closure of identified issues

·       Deliver on-going training to Front Office staff

·       Maintain version control of business assurance procedures and execute action plans to remediate exceptions to these procedures

·       Perform all duties in accordance with the principles outlined in the SGPBH Code of Conduct, as well as the policies and procedures relevant to your responsibilities, to ensure that you adhere to a culture that treats clients fairly and focuses on the long- term sustainability of client relationships.

·       Proactively suggest improvements to processes and procedures which will reduce risk, increase productivity amid ongoing desire for the business to simplify and ensure first time right culture.

Profile Required

Level of Autonomy and Authority

Day to day responsibility on operational matters with escalation to the Head of Business Assurance for material exceptions.


·       Individual contributor competencies as defined in the KH Leadership Model

·       Knowledge of legal, regulatory and industry requirements for a wealth management business

·       Financial product knowledge

·       Strong communication skills

·       Strong people skills

·       Ability to formulate and communicate decisions based on regulatory requirements.

·       Ability to adapt and change based on requirements

·       Experience in providing training

·       Team Building

·       Planning & Organising

·       Pragmatism


·       Regulatory and compliance knowledge with a specific focus on Complaint Handling

·       Experience of performing controls

·       Knowledge of issues of a Private Banking function and activity

·       Regulatory module of financial services qualification

·       Retail financial services or asset management threshold qualification


·       English

·       French (desirable)

Why Join Us

People join for the impact they can have on us. They stay for the impact we have on them. A flatter structure offers visibility and exposure beyond that of our competitors, so you know our names, and we know yours. It's personable, human, and inspires success through passion. By encouraging open mindedness and a willingness to share ideas, we have adapted to market changes and thrived through innovation. Bringing words like “hard work” and “dedication” together with “community” and “respect” has enabled us to work collaboratively and build our future together. We call this Team Spirit and it's what makes us different. It's what makes you different.

Business Insight

Dedicated and persevering – commits to delivery dates and makes every effort to achieve these targetsIf you feel you have the required experience and qualifications, then please apply to the SG Resourcing Team, and we will manage your application. At Societe Generale, we believe our people are our strength and are core to the success of our business. As such, we search for, recruit and appoint the best available person on the basis of aptitude and ability, regardless of sex, marital or civil partnership status, race, colour, nationality, ethnic or national origins, pregnancy, disability, age, sexual orientation, religion, belief or gender reassignment.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Job code: 19000Y95
Business unit: Kleinwort Hambros
Starting date: 17/02/2020
Date of publication: 06/01/2020
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Business Assurance Manager – Complaints Handling

Permanent contract   |   London   |   Other job functions