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Work Background
Barclays Private BankHead of Complaints Operations - Private Bank & Wealth Management
Jan. 2024Liverpool, England, United KingdomResponsibilities; Responsibilities cover the full scope of the complaints function from complaint training delivery, complaint handling, quality assurance, root cause analysis, journey improvement, regulatory and ombudsman engagement in multiple jurisdictions and senior leadership engagement Leading Private Bank Complaints Operations, expanded in 2024 to include Wealth Management. A team with nine direct reports and 70+ colleagues overall including Team Managers, Complaint Handlers and Support colleagues across the UK and Crown Dependencies
Oversight of Complaints Management across the other Private Bank locations including Dubai, India, Ireland, Monaco, Singapore and Switzerland Key Achievements Designed and implemented significant workflow enhancements in 2023, resulting in:
Complaints awaiting resolution reduced by 80% compared to Q4 2022.
Complaints aged over eight weeks old decreased by over 90% in six months
100% of complaint escalations assigned to a handler within three days by Q4 2023 vs 10 days in 2022, most complaints resolved in under 12 days.
Enhanced the First Point of Contact (FPOC) model with effective training and support, including a live chat function, leading to over 60% of complaints resolved at FPOC.
Supported investigation and decision on complex complaints including engagement with senior leadership up to CEO level
Developed a timely escalation process and case triage system to identify high-risk cases such as client vulnerability and potential loss, prioritizing these cases effectively.
Designed an operating model for root cause analysis data to ensure timely data delivery to product and journey owners, with actions taken to improve client experience and journeys effectively monitored.
Built out the Proactive Client Contact model to improve transparency and reduce inbound client contact and future complaints by advising clients of incidents impacting their accounts
Barclays Private BankHead of Complaints - Private Bank
Apr. 2022 - Jan. 2024Liverpool, England, United KingdomLeading the Private Bank Complaints Management Team with responsibility for Complaint Handling teams covering Private Bank UK as well as the Crown Dependencies. Oversight of Complaints Management activity across other Private Bank locations including Monaco, Switzerland, Dubai and India. Role covers management of Complaint Handling Operations, Quality Assurance, Root Cause Analysis, Complaints Governance, Complaints Training and Complaints Change Initiatives as well as engagement with Audit and Compliance teams internally plus multiple Regulators and Ombudsman externally. In addition, collaboration with other Barclays teams in UK, Corporate and Barclaycard to ensure consistency of approach and sharing of best practice.
Barclays Private BankHead of Operational Rigour - Private Bank
Aug. 2020 - Apr. 2022Liverpool, England, United KingdomResponsibilities; Leading a team of seven Risk Specialists responsible for risk and issue management, risk-based conformance testing, audit and Chief Control Office engagement, all across multiple jurisdictions for Client Service Centre, Complaints Management and Digital Key Achievements; Initiated the "Educate – Support – Protect" approach to better engage stakeholders and ensure transparency in business activities
Refreshed quality assurance and risk scorecards to enhance colleague understanding and ensure thorough review of all key risk-based processes
Created a unified team framework, consolidating approximately 30 separate process and guidance documents into a single, comprehensive resource
Led cross-team upskilling initiatives, fostering colleague development and reducing dependency risks
Owned the annual Risk Control Self-Assessment process for Client Services and Digital teams, ensuring thorough evaluation and compliance
Barclays Private BankInterim Head of Operational Rigour - Private Bank
May. 2020 - Aug. 2020Liverpool, England, United Kingdom
Barclays Private BankInterim Head of Complaints - Private Bank
Sep. 2019 - Dec. 2019Liverpool, United KingdomLeading the Private Bank Complaints Management Team on an interim basis. The team is 5 direct reports and 27 colleagues overall covering Complaint Handling Operations in UK, Jersey and Isle Of Man. Role covers management of Complaint Handling Operations, Quality Assurance, Root Cause Analysis, Complaints Governance, Complaints Training and Complaints Change Initiatives as well as engagement with Audit and Compliance teams internally plus Regulators and Ombudsman externally. In addition, responsible for oversight and support of complaint handling in non UK Private Bank locations and working with other Barclays teams in UK, Corporate and Barclaycard to ensure consistency of approach and sharing of best practice.
Barclays Private BankComplaints Governance Manager - Private Bank
May. 2018 - May. 2020Liverpool, United KingdomResponsibilities; Setting up and leading a team of five with responsibility for complaints governance including engagement with auditors and compliance, complaints training, controls, Management Information production, forums management and Quality Assurance across Private Bank and Corporate’s 14 locations including Crown Dependencies, UK, France, Germany, India and Dubai. Key achievements Deputising for the Head of Complaints, including the role of Interim Head of Complaints September - December 2019
Implementing enhanced controls for Complaints Managements ensuring covered all relevant risks for our processes
Created one MI governance model to ensure accurate and centralised feed of complaints data into various forums A single model QA framework for Private Bank and Corporate Banking reducing seven existing frameworks to one
Creating mandatory annual complaints training and accreditation module for all Private Bank colleagues
Implemented a robust process for review of procedures and controls to ensure ongoing alignment with external regulations, Barclays Group level policies and standards
Barclays UKComplaints Governance Manager (Nov 2012) Complaints Policy & Standards Manager (From Apr 2015)
Nov. 2012 - May. 2018Liverpool, United KingdomResponsibilities; Subject Matter Expert on complaints procedures and regulations for Barclays UK colleagues including Complaint Handlers, Change Managers, Internal Audit, and Senior Leadership.
Complaints procedures and training framework owner ensuring relevant training and support mechanisms in place for colleagues handling complaints Key Achievements; Regulatory alignment - managed and set up a test and learn approach to align Barclays UK's complaint definition with FCA requirements.
Change Management - Implemented regulatory changes, including Policy Statement PS15/19, ensuring compliance and adherence.
Regulatory Reporting - supported regulatory returns, including FCA reporting and engagement with the Lending Standards Board and external auditors.
Supporting Vulnerable Customers by implementing the Client Vulnerability policy and conducted colleague training across the complaints function.
Collaboration - across Group for consistency and with Barclays Global Compliance to review Supplier and Sourcing Control Objectives for complaints.
Owned UK complaint handling procedures, enhancing colleague access to information through improved intranet pages, increasing site hits from 50 to 3000 per month.
Client Experience - led on improvements to the letter suite to enhance colleague and client experience, transitioned the ordering of non-financial gestures of goodwill to from fax to an electronic solution and reduced complaints ID&V processes from eight steps to one with appropriate signoffs and controls.
Barclays UKComplaints Governance Manager
Nov. 2012 - Apr. 2015Liverpool, United KingdomEnsuring UK Complaint Handling Procedures are up to date in line with Barclays Group Complaints Policy and FCA Dispute Resolution guidelines, obtain relevant signoffs. Build cross Group and external business relationships with stakeholders e.g. Compliance, Legal, Quality Assurance and suppliers Manage the Training & Support (T&S) Framework for complaint handlers including support mechanisms, quality guidelines and training requirements for UKRBB
Barclays UKCustomer Relations Consultant
Apr. 2009 - Nov. 2012Liverpool, United KingdomAid complaint handlers with complex complaints, making sure the customer is their main focus and Treating Customer Fairly guidelines are adhered to. Ensure customer resolutions are in line with all relevant legislation and FCA regulations. Agree and sign off compensation with consideration of customer, Bank view and previous FOS case views where appropriate, ensuring a strong control environment is maintained by adhering to control limits. • Engage with stakeholders to support efficient resolutions e.g. product owners. Use root cause and trend analysis to identify issues are impacting on our customers. Suggest and develop solutions which can improve the customer experience whilst having consideration for appropriate sign offs from legal and compliance. Challenging existing and new processes which negatively impact our customers. Create or amend processes using lean techniques to reduce waste, ensuring efficient complaint resolution by colleagues. Organise citizenship activities. Engaging external stakeholders to promote Barclays to our existing and potential customers via community events such as Liverpool Pride. Participate in charity events and community activity.
Barclays UKCustomer Relations Manager
Jun. 2007 - Apr. 2009Liverpool, United KingdomComplaint resolution in line with all relevant legislation and regulations Aiding colleagues with processes and complaints. Sharing best practice.
NatWestCustomer Advisor
Apr. 2004 - May. 2007Bootle, MerseysideSupervision of branch staff in absence of branch manager. Line manager. Meeting customer needs by ensuring appropriate products and services offered, applications made in line with relevant regulatory guidelines and company processes Making risk decisions on high value payments Sign off of account opening and loan applications after review of documentation in line with KYC and income/expenditure processes Staff coaching and training including presentations on new products and services
NatWestCustomer Service Officer
Jun. 2002 - Apr. 2004Bootle, MerseysideComplaint handling in line with company guidelines and FSA requirements. Reconciliation and audit of branch general ledger accounts Making risk decisions on counter withdrawals within set limits and bank guidelines.
Littlewoods RetailSales Assistant
Sep. 1999 - Jun. 2002Liverpool, United KingdomStaff training, development and coaching. Customer service and complaint handling in line with company guidelines
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