Job Title: Complaints Officer

Incumbent: Vacant

Unit: Legal & Enforcement

Reports To: Department Head, Legal & Enforcement

Job Summary:

The Complaints Officer (CO) will provide support to the Legal and Enforcement Department of the Financial Services Commission (the “Commission”) in the execution of duties for which the Depart-ment has direct charge. The CO must display the attributes and values of the Commission and pro-vide support to the Legal and Enforcement Department, the Director General, and all other depart-ments in the adjudication and resolution of complaints received by the Commission and all other units which are managed by the Commission. The CO will assist in ensuring the effective and timely coordination, management and monitoring of all complaints and escalate to the Department Head, Legal and Enforcement Department where a complainant remains dissatisfied with the outcome or resolution offered. The role requires continual provision of advice, guidance, and support to the Commission across all Departments together with regular provision of complaint related infor-mation and data for reporting purposes in preparing legal actions as necessary for the Commission and must be familiar with company and corporate law.

Principal Duties & Responsibilities:

General:

• Ability to deal with persons from a wide variety of backgrounds and to maintain objective understanding of different perspectives.
• Day-to-day administration of any new complaints received centrally (via any means of commu-nication).
• Monitoring and accurately recording of all complaints received, ensuring that investigation/re-sponse deadlines are adhered to, providing regular updates to the Department Head, Legal & En-forcement together with a copy of the complaint response for file and case closure.
• Ability to receive and analyze tips and to determine whether to escalate to the Legal Depart-ment for further investigation.
• Daily provision of advice and guidance to colleagues (including Senior Management Team) on the handling of complaints and tips; including reviewing/formatting of draft responses prior to issue.
• Maintenance of registers, ensuring all are kept up to date, by recording the details of complaint, status, timeframes for response and outcome.
  • Communicate with staff to gain information for complaint investigation and to convey investiga-tion results.
  • Co-ordinate internal complaint investigations to ensure completion in a timely manner.
  • Receive, document, and respond to complaints according to regulatory requirements and policies.
  • Record detailed information and statistics about all complaints that occur.
  • Create and issue routine site reports on the status of complaints.
    • To provide proactive and reactive support to the Management and other senior management team members when required.
    • To establish information requirements, acting proactively to provide data reports and statistics accordingly.
    • Ensuring that the Commission complies with outside regulatory and legal requirements, as well as internal policies and rules.
    • Developing positive and collaborative working relationships with team members and internal and external stakeholders.
    • Contributing to the priorities of a team and effectively managing individual caseloads.
    • Experience of effective decision making with accountability for decisions made.
    • Demonstrate the ability to evaluate evidence using sound judgement and empathy.
    • Ability to write statements of reasons about investigation outcomes and articulate defensible recommendations.
    • Participate in cross functional teams, committees, and units of the Commission and provide relevant advice and support.

Legal and Enforcement Functions:

• Assist in the intake of Exchange of Information upon requests.
• Assist in drafting responses and follow up to Exchange of Information upon request.
• Assist in reviewing enforcement actions.
• Assist in drafting enforcement actions.
• Assist in posting and reviewing content for the Commission’s website for Complaints and Enforcement actions.
• Assist in drafting SOPs and relevant manuals.
• To support changes and improvement in required changes to policies, procedures, and working environment.

Other:

• Assist the Legal Department with coordinating assistance required from the Belize Police De-partment if a complaint or tip warrants the assistance of police action.
• Any other duties or responsibilities as may be needed from time in time in context with the job and in relation to the work of the Commission or function.

Education/Working Experience:

Education:

• Bachelor’s Degree in Law, Economics, Finance, or related field.
• Accredited qualification in regulatory and compliance practice would be an asset (eg. ACAMS)
• Training in Mediation and Conflict Resolution would be an asset.

Experience:

• At least 3 years’ experience in a customer resolution role.
• Ability to interpret and apply polices and legislation.
• Knowledge and experience in company and corporate law would be an asset.
• Experience in decision making or analytical role.

Knowledge, Skills, Abilities and Behaviours:

Fundamental Competencies:

 Computer, Written and Oral Skills:

• To use computer equipment, systems, and software applications such as Microsoft Office and /or other reporting and information management systems.
• Ability to generate technical reports as required. Ability to collect and analyse data.
• To communicate clearly and concisely, both orally, and in writing.

  Technical Skills:

• Experience in resolving complex cases.
• Determining and calculating appropriate financial loss, redress, and compensation.
• Knowledge of financial products including securities.
• Strong analytical, investigation and customer management skills.
• Excellent communication skills in both written and verbal forms.
• An ability to always demonstrate a proactive approach.
• Ability to take accurate recording of information.
  • Ability to manage complaints and participants incidents including assessing, recording, resolving and referring as required.
  • Ability to manage escalated complaints and ensure strict deadlines are met.
  • Ability to share knowledge and expertise whenever required through training or mentoring.
  • To research and articulate recommendations as required.

Professional, Initiative, and Networking Skills:

• A high degree of professional ethics and integrity.
• To work independently and strive to improve one’s own performance.
• To operate in a cross-functional manner between and among various departments, and with external stakeholders.
• Ability to develop, maintain, or strengthen partnerships with others inside and outside of the organization who can provide information, assistance, and support.
• To take responsibility to update professional and technical knowledge and develop an understanding of regulatory laws, rules, codes, and guidance.

 Time Management Skills:

• To complete all work promptly, to a high standard and provide both positive and constructive input.
• Ability to work effectively and efficiently in multiple tasks.