Senior Manager, Compliance Complaints

Job Summary

IG is a FTSE 100 fintech operating across five continents, serving over 1.3 million customers and handling billions of dollars in transactions. Built on scale, trust, and proof, IG tackles genuinely complex problems with the technology and resources needed to solve them. The role is a Senior Manager, Compliance Complaints position located at Cannon Street, London and is full‑time.

Role within Line 2 Compliance function

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

Responsibilities

• 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 presenting significant regulatory, conduct, or reputational risk, ensuring appropriate governance, documentation, and remediation. Review and challenge proposed resolutions and redress decisions on escalated matters, providing independent assessment of fairness and regulatory compliance.
• 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 the 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.

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 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.

Diversity & Inclusion

We believe that diversity is vital to success, fuels creativity, drives innovation and sets us up for global success. IG is 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.

Benefits

• Opportunities for development and growth opportunities motivating for those who want to raise the bar.
• Clear outcome‑based success metrics: complex and escalated complaints investigated and resolved fairly, FOS cases managed effectively, robust Line 2 oversight of the Line 1 complaints function, complaints trends and thematic risks identified and escalated, complaints policies and controls embedded across Line 1, strong collaboration with stakeholders, positive contribution to team capability and culture of fair client outcomes.

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