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Regulatory Administrator

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Regulatory Administrator

The Regulatory Administrator sits within the Business Quality & Complaints team and will provide administrative support for this team and the wider L&R department. You are required to act as a point of contact for complainants, liaising with them to ascertain the main issues being raised and creating an accurate record and audit trail. The complaints journey is tracked through an online system and you must be sufficiently experienced in retaining appropriate records and inputting accurate data.

The role involves supporting the team by gathering evidence and documentation; you will be required to liaise with complainants, third parties and internal stakeholders to ensure sufficient information is obtained to enable the team to conduct Business Quality reviews and investigate complaints.

You must possess exceptional time management skills, as the role requires the administrator to track aspects of the complaints journey and the fulfilment of remedial actions from Business Quality.

There will be an opportunity for you to become involved in projects from time-to-time, and you will gain exposure to the wider L&R department and have input in department-wide decisions.


  • Supporting the Business Quality team by selecting cases for post-sale review according to the product risk framework.
  • Tracking remedial actions assigned through to completion.
  • Managing both incoming and outgoing post for the L&R department.
  • Logging and updating complaints on the Complaints System.
  • Providing update letters to complainants, for example acknowledgement letters and holding responses.
  • Undertaking ad hoc scanning as necessary.
  • Obtaining archived advice files from physical storage.
  • Supporting in the response to Data Subject Access Requests.
  • Monitor and order stationary for the L&R department.


  • To be able to communicate effectively with clients and stakeholders.
  • Effective time management, including prioritising work and meeting deadlines.
  • Working effectively both independently and within a team.
  • Excellent Excel skills
  • Ideally a knowledge of basic retail investment products.


By joining Chase de Vere, you’ll have a progressive career with great benefits and a nurturing culture that makes you part of something special.

  • A competitive salary with the opportunity to earn an annual bonus
  • 25 days holiday, plus bank holidays
  • A day off for your birthday
  • Life assurance – 4 x salary
  • Comprehensive induction and training programme
  • Funded exams and paid study leave
  • A wide range of voluntary flexible benefits to suit your individual needs
  • The option to buy additional holiday days
  • Cycle to work Scheme
  • Two paid volunteering days each year, to support your local community
  • Employee Assistance Programme with access to a 24/7 helpline
  • Access to our free mortgage service, through our internal mortgage team
  • Our Employee Forum and Diversity & Inclusion group
  • Local and companywide events in support of our company charities

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