Conduct & Complaints Manager

Overview

In this role you will lead Ascot’s 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

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