Conduct & Complaints Manager
ASCOT GROUP · London, England ·
Overview In this role you will lead Ascots conduct risk, consumer duty and complaints agenda, partnering with business stakeholders to embed robust frameworks. You will oversee the Conduct & Complaints Team and ensure regulatory requirements and reporting are met, driving a strong culture of conduct and client-centric service.
You will manage policy maintenance, stakeholder training, and timely escalation, contributing to a resilient, compliant, and customer-focused organization. Responsibilities Lead and develop the Conduct & Complaints Team with performance management and regular feedback Oversee the Conduct, Consumer Duty and Complaints frameworks, update policies and ensure regulatory compliance (Lloyd's, FCA) Provide regular reporting on conduct risk, consumer duty and complaints (FCA/Lloyd's returns and RMAR) Advise and train stakeholders to embed positive conduct culture and meet deadlines Draft and maintain Consumer Duty attestation and obtain Board approval Monitor and report on Product Review Panels and oversight groups; participate in external groups as needed Maintain Conduct Risk Dashboard and MI packs; collaborate with data teams to source insights Oversee complaints process, ensuring timely communications and compliance with deadlines Support escalation and commercial resolutions while keeping customers at the heart of the business Contribute to ad-hoc compliance projects and delegated authority initiatives Key requirements experience in conduct risk, consumer duty and complaints management strong leadership and stakeholder engagement skills regulatory reporting and regulatory oversight experience (Lloyd's, FCA) ability to develop and maintain policies and procedures data-informed approach to risk and MI reporting ability to manage multiple workstreams and deadlines commercial and pragmatic problem-solving attitude leadership communication stakeholder management regulatory reporting (RMAR and other returns) policy development and governance MI/dashboard reporting