Abdul Kalam
Associate Director, Complaint Handling Unit - Global Wealth Management Uk & Jersey @UBS
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WORK HISTORY
Associate Director, Complaint Handling Unit - Global Wealth Management Uk & Jersey @UBS
London, GB
Regulatory compliance (FCA DISP, SMCR, MiFID II, GDPR)- High-net-worth (HNW/UHNW) client relationship management- Complex complaint resolution involving financial advice, investment portfolios, and fiduciary services- Root cause analysis & conduct risk monitoringWealth management product knowledge (e.g, ISAs, SIPPs, discretionary portfolio management, trusts)- Cross-border complaint handling & offshore jurisdictionsClient outcome monitoring & Treating Customers Fairly (TCF) principles- Board-level reporting & executive stakeholder engagement- Complaints MI & regulatory reporting (e.g, FCA CCR)- Internal controls & risk framework alignment- Leadership of complaints, quality assurance & regulatory liaison teams- Assisted the firm’s complaints function, ensuring adherence to FCA DISP rules and delivery of fair outcomes across discretionary & advisory products- Handled escalated complaints involving suitability of advice, performance issues and general banking- Built and maintained robust relationships with the Financial Ombudsman Service (FOS) and key regulators, overseeing timely and compliant case submissions- Delivered detailed MI to board and risk committees, highlighting emerging trends, thematic issues, and conduct risks across service lines- Developed and embedded a firm-wide complaints training framework for front-line advisers and operational staff- Drove continuous improvement initiatives, using complaint root cause data to inform changes to investment processes, documentation, and client onboarding- Partnered with legal, risk, and compliance functions to ensure complaints were factored into Conduct Risk- Ensured timely and accurate reporting for FCA complaints returns, including oversight of DISP requirements and breach assessments.
EDUCATION
City and Islington College
AS Level, Chemistry, Biology, Physics & Maths
Tower Hamlets College
A Level, Chemistry, Biology, Maths and English
ABOUT ABDUL KALAM
As Associate Director of the Complaint Handling Unit at UBS Global Wealth Management UK & Jersey, I lead a team addressing complex client concerns across jurisdictions. With over two years in this role and a background spanning more than fifteen years in financial services, I specialize in complaint resolution, client relations, and regulatory compliance. My work ensures high-net-worth clients receive timely and satisfactory resolutions while meeting strict KPIs and SLAs. UBS benefits from my commitment to enhancing client satisfaction, developing root cause analyses, and contributing to training initiatives. By collaborating with internal stakeholders, I help align service delivery with business objectives and compliance standards. My approach reinforces trust and fosters long-term client relationships while supporting organizational goals in a dynamic regulatory environment.
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