Complaints Specialist

3 weeks ago

Dublin, Dublin City, Ireland Interactive Brokers Ireland Limited Full time

Complaints Specialist

Interactive Brokers Ireland Limited ("IBIE") is looking for an individual to investigate and adjudicate on client complaints in a manner which is fair, professional and in compliance with regulatory requirements and internal policies.

The candidate should have an in-depth knowledge of the MIFID and other key Central Bank of Ireland regulations and the complaints handling requirements contained therein. The candidate should possess knowledge of futures, options, CFDs and equities markets. The candidate must satisfy the Minimum Competency Code requirements for complaints adjudication.

Key Responsibilities:

  • Present a resolution for complaints which may relate to a variety of topics such as:
    • Order routing, order status or execution inquiries such as non-execution, delayed or erroneous execution
    • Funding issues such as deposit or withdrawal delays, third party fees on funding and processing of position transfers
    • Statement and tax issues such as dividend reporting, cost basis issues and tax reporting discrepancies
    • Level of satisfaction with customer service received
  • Ensure complaints are handled in a manner which is both fair and in compliance with the Consumer Protection Code
  • Compose clear and concise summaries of issues which require escalation internally, either to the Programming Department, Senior Management, Legal Department or Compliance Department
  • Compile Management Information and trend analysis for the Compliance Department
  • Assist other IBKR entities in resolving complaints if necessary.

Qualifications & Experience:

  • Bachelor's or advanced degree in Finance, Law, Economics, Business Administration or other related field

Mandatory Requirements:

  • Licentiate or Fellow of the Association of Compliance Officers in Ireland, Solicitor Member of the Law Society of Ireland or Barrister-at-Law called to the Bar of Ireland
  • Must hold the legal qualifications/compliance license – Diploma in Compliance from the Institute of Bankers, Licentiate of Compliance Institute (LCI)
  • Up to date CPD and at least 2 years relevant complaints handling experience
  • Minimum of 2 years financial services industry experience preferred
  • Strong interpersonal, verbal and written communication skills
  • Working knowledge of PC technologies including Microsoft Office applications

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