Senior Manager of Compliance Complaints

Requirements

• 8–12 years’ experience in financial services compliance, complaints, or conduct risk, with significant exposure to complex complaint investigation and resolution

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• Strong working knowledge of FCA DISP rules and the FOS process, with hands-on experience managing FOS referrals and case submissions

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• Experience providing Line 2 oversight or quality assurance of a customer-facing complaints function

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• Familiarity with trading products (FX, indices, shares, derivatives, crypto) preferred

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• Demonstrated ability to manage complex, sensitive matters independently and under time pressure

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• Bachelor’s degree in Law, Business, Finance, Economics or related field

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• Acts with integrity and consistently demonstrates high professional and ethical standards

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• Delivers high-quality work with energy, accountability, and a strong sense of urgency

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• Commercial and solutions-focused, enabling growth while maintaining strong compliance and client protection

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• Committed to continuous improvement in controls and ways of working

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• Communicates clearly and manages stakeholders effectively

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• Collaborates constructively while providing confident and effective challenge

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• Demonstrates sound judgement and resilience

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• Comfortable working from IG’s London office a minimum of three days per week

What the job involves

• This is a role within our Line 2 Compliance function, 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, helping ensure complaint-handling practices are effective, fair, and fully compliant with regulatory requirements

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• Reporting to the Head of Compliance Advisory, you will act as IG’s primary point of expertise to investigate and resolve escalated complaint matters, lead engagement with the FOS, and drive thematic insight from complaints data to identify conduct and control weaknesses

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• The role partners closely with Line 1 stakeholders to ensure complaints are resolved fairly and that root causes are addressed to support continuous improvement and strong client outcomes

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• 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

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• Act as the Line 2 escalation point for complaints that present significant regulatory, conduct, or reputational risk, ensuring appropriate governance, documentation, and remediation

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• Review and challenge proposed resolutions and redress decisions on escalated matters, providing independent assessment of fairness and regulatory compliance

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• Identify conduct, control, or process failings identified through complaint investigations and ensure findings are escalated and remediated appropriately

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• Own IG’s relationship and engagement with the Financial Ombudsman Service in relation to specific complaints, managing FOS referrals end-to-end including case submissions, evidence preparation, and responses to provisional and final decisions

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• Ensure FOS cases are handled in a timely, well-evidenced, and commercially considered manner, balancing fair client outcomes with IG’s position

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• Monitor FOS decisions and trends to identify patterns, inform risk assessments, and feed insights back into the business

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• Support regulatory engagement and governance reporting in relation to complaints and conduct matters as required

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• Provide structured Line 2 oversight of the Line 1 customer complaints function, monitoring the effectiveness, consistency, and fairness of complaint-handling activity

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• Track and analyse complaints data, KPIs, and quality assurance outputs to identify trends, systemic issues, and areas of conduct or regulatory concern

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• Review and challenge Line 1 root cause analysis and remediation plans, ensuring identified issues are addressed in a timely and effective manner

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• Provide thematic reporting and insight to senior stakeholders and governance forums on complaints trends, conduct risks, and the effectiveness of controls

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• Support the implementation and embedding of complaints-handling policies, standards, and frameworks across Line 1, ensuring alignment with FCA requirements and broader conduct obligations

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• Contribute to continuous improvement of complaint-handling practices, controls, and customer outcome frameworks

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• Deliver targeted guidance and training to business and Line 1 stakeholders on complaints obligations and best practice

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• Contribute to strategic compliance initiatives and governance reporting as required

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• Contribute to the development of team capability through mentoring, knowledge sharing, and support to junior colleagues

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• Promote a collaborative culture where compliance enables fair client outcomes and sustainable business growth

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• This role will bring with it a range of development and growth opportunities which we hope are motivating for someone who wants to Raise the Bar

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• We focus on outcomes, not activity. Your success is measured by:

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• Complex and escalated complaints investigated and resolved fairly, thoroughly, and in line with regulatory obligations and timeframes

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• FOS cases managed effectively, with well-evidenced submissions and commercially sound outcomes

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• Robust Line 2 oversight of the Line 1 complaints function, with clear insight into effectiveness and conduct risk

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• Complaints trends and thematic risks identified and escalated, with root causes addressed through timely remediation

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• Complaints policies and controls effectively embedded across Line 1

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• Strong, trusted collaboration with business, Legal, and control function stakeholders

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• Positive contribution to team capability and a culture of fair client outcomes

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