Client Complaint Resolution Executive

The Client Complaint Resolution Executive is a key role within Business Operations. The role supports complaints handling across multiple jurisdictions and requires the ability to consider different regulatory frameworks while applying consistent principles to deliver fair client outcomes.

The role has two key objectives:

1. To ensure that all Client queries and complaints are dealt with in a timely and efficient manner, are fully and accurately captured and documented, are thoroughly investigated, and ensuring fair outcomes for clients at all times. This includes assisting the Client Complaint Resolution Manager with all internal and external reporting, including audits to ensure full oversight of CMC’s complaint handling and to demonstrate CMC’s commitment to treating customers fairly.

2. To assist our Data Quality Assurance Team to ensure that information held within our customer database is complete, accurate and updated in a timely manner, so the extent that CMC are able to be fully compliant with all regulatory and legal requirements that require use of this data. These requirements include, but are not limited to:

• Due Diligence - Know Your Client (KYC) and Anti-Money Laundering (AML)

• Operational Tax Compliance - Foreign Account Tax Compliance Act (FATCA), Common Reporting Standard (CRS) Organisation for Economic Co-operation and Development (OECD), Automatic Exchange of Information (AEOI)

The role will suit someone who is self-motivated and has a natural ability in problem solving, in analysing and interpreting data, and who is able to adopt a methodical, logical and creative approach to new challenges.

The role requires interactions with all other offices and departments across the Group.

RESPONSIBILITIES

Work with all areas of the business to ensure that the Group Complaints Handling Policy is implemented and followed as appropriate, ensuring:

• All complaints are accurately recorded, fully investigated on their own merits in a timely, fair and consistent manner in line with CMC’s policies and procedures.

• Client communication related to any complaint is timely, clear and transparent.

• Appropriate escalation of serious or complex complaints to management.

• All business areas are aware of complaints handling requirements. Build effective working relationships with all areas business to fully understand their processes and procedures and how this impacts on client experience and proactively identify potential issues in order to improve complaints handling.

• Provide internal and external periodic and ad-hoc reporting as required, including regulatory returns.

• To continually challenge policy and procedure to look for improvements to processes and services.

• Identify trends in appeals and complaints and undertake root cause analysis.

• Work with all areas of the business to ensure that customer information stored in CMC systems is complete, accurate and fit for purpose for all required uses. This includes meeting internal policy requirements, and also external legal and regulatory requirements. Ensure that:

• Liaise with Client Management Teams to resolve any missing or inconsistent client data.

General

• Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training

• When dealing with all customers, clients or colleagues ensure that we provide a clear, fair and consistently high-quality service that presents a professional and positive image of CMC Markets

• Take all reasonable steps to ensure appropriate confidentiality

• Undertake such other duties, training and/or hours of work as may be reasonably required and which are consistent with the general level of responsibility of this role.

KEY SKILLS AND EXPERIENCE

• Experience handling customer complaints within a regulated environment (financial services, insurance, payments or similar)

• Strong analytical and decision-making skills, with the ability to assess complex cases and reach fair outcomes

•  Understanding of regulatory principles in financial services (FCA knowledge advantageous but not required)

• Ability to interpret and apply policies and regulatory guidance

• Experience performing root cause analysis and identifying process improvements

• Confident written and verbal communicator

• Highly organised, with a methodical and thorough approach and ability to meet deadlines

• Ability to work independently and collaboratively across international teams

• Numerate and IT proficient (including MS Office)

• Working knowledge of financial markets and trading products (preferred)

• Fluent English required; additional European languages (including Polish) advantageous

CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.