Senior Manager, Compliance Complaints

Job Title

Senior Manager, Compliance Complaints

What’s the role?

This role is within the Line 2 Compliance function and is responsible for the independent investigation and resolution of complex, escalated and material complaints, including those referred to the Financial Ombudsman Service (FOS). It also provides credible oversight and challenge to the Line 1 customer complaints function to ensure complaint‑handling practices are effective, fair and fully compliant with regulatory requirements.

What will you do?

Investigation, Escalation & Resolution

• Lead the independent investigation and resolution of complex, material and escalated complaints, ensuring thorough, fair and timely outcomes in line with regulatory requirements and IG’s complaints‑handling framework.
• Act as the Line 2 escalation point for complaints that pose significant regulatory, conduct or reputational risk, ensuring appropriate governance, documentation and remediation.
• Review and challenge proposed resolutions and redress decisions on escalated matters, providing an independent assessment of fairness and regulatory compliance.
• Identify conduct, control or process failings identified through complaint investigations and ensure findings are escalated and remediated appropriately.

FOS Engagement & Regulatory Response

• Own IG’s relationship and engagement with the Financial Ombudsman Service, managing FOS referrals end‑to‑end including case submissions, evidence preparation and responses to provisional and final decisions.
• Ensure FOS cases are handled in a timely, well‑evidenced and commercially considered manner, balancing fair client outcomes with IG’s position.
• Monitor FOS decisions and trends to identify patterns, inform risk assessments and feed insights back into the business.
• Support regulatory engagement and governance reporting in relation to complaints and conduct matters as required.

Line 1 Oversight & Challenge

• Provide structured Line 2 oversight of the Line 1 customer complaints function, monitoring effectiveness, consistency and fairness of complaint‑handling activity.
• Track and analyse complaints data, KPIs and quality assurance outputs to identify trends, systemic issues and areas of conduct or regulatory concern.
• Review and challenge Line 1 root‑cause analysis and remediation plans, ensuring identified issues are addressed in a timely and effective manner.
• Provide thematic reporting and insight to senior stakeholders and governance forums on complaints trends, conduct risks and the effectiveness of controls.

Framework, Policy & Capability Support

• Support the implementation and embedding of complaints‑handling policies, standards and frameworks across Line 1, ensuring alignment with FCA requirements and broader conduct obligations.
• Contribute to continuous improvement of complaint‑handling practices, controls and customer outcome frameworks.
• Deliver targeted guidance and training to business and Line 1 stakeholders on complaints obligations and best practice.
• Contribute to strategic compliance initiatives and governance reporting as required.

Contribution to Team Capability & Culture

• Contribute to the development of team capability through mentoring, knowledge sharing and support to junior colleagues.
• Promote a collaborative culture where compliance enables fair client outcomes and sustainable business growth.

What will you need for this role?

Experience & Education

• 8–12 years’ experience in financial services compliance, complaints or conduct risk, with significant exposure to complex complaint investigation and resolution.
• Strong working knowledge of FCA DISP rules and the FOS process, with hands‑on experience managing FOS referrals and case submissions.
• Experience providing Line 2 oversight or quality assurance of a customer‑facing complaints function.
• Familiarity with trading products (FX, indices, shares, derivatives, crypto) preferred.
• Demonstrated ability to manage complex, sensitive matters independently and under time pressure.
• Bachelor’s degree in Law, Business, Finance, Economics or a related field.

Personal Attributes

• Acts with integrity and consistently demonstrates high professional and ethical standards.
• Delivers high‑quality work with energy, accountability and a strong sense of urgency.
• Commercial and solutions‑focused, enabling growth while maintaining strong compliance and client protection.
• Committed to continuous improvement in controls and ways of working.
• Communicates clearly and manages stakeholders effectively.
• Collaborates constructively while providing confident and effective challenge.
• Demonstrates sound judgement and resilience.
• Comfortable working from IG’s London office a minimum of three days per week.

We believe that diversity is vital to success, it fuels creativity, drives innovation and sets us up for global success. We’re committed to building teams with a variety of perspectives and skills to help us realise our vision and strategy, and we encourage applications from people with diverse backgrounds and experiences.

What you’ll get

This role offers a range of development and growth opportunities that we hope are motivating for someone who wants to Raise the Bar.

Key Outcomes

• Complex and escalated complaints investigated and resolved fairly, thoroughly and in line with regulatory obligations and timeframes.
• FOS cases managed effectively, with well‑evidenced submissions and commercially sound outcomes.
• Robust Line 2 oversight of the Line 1 complaints function, with clear insight into effectiveness and conduct risk.
• Complaints trends and thematic risks identified and escalated, with root causes addressed through timely remediation.
• Complaints policies and controls effectively embedded across Line 1.
• Strong, trusted collaboration with business, Legal and control function stakeholders.
• Positive contribution to team capability and a culture of fair client outcomes.

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