Compliance Complaints Advisory Specialist researching and analyzing regulatory guidance on high-risk customer complaints. Collaborating with operations and legal teams to ensure compliance and customer satisfaction.
Responsibilities
Research, analyze, and offer regulatory guidance on high-risk customer complaints
Maintain subject matter expertise of applicable laws and regulations for Retail Bank products and services
Partner with Legal for complaints needing Legal review for UDAAP/UDAP risks
Consult and work closely with Compliance colleagues in Bank horizontal areas for complaint reviews
Document complaint regulatory assessments, consistent with policies and procedures
Work with Retail Bank complaints operations to review and resolve complaint questions
Provide ad-hoc training to first line teams on regulatory risk related to complaints
Advise business and Compliance colleagues on known risks that may generate complaints
Support lines of business through expert advice and elevate best practices
Request and analyze data and support efforts to improve data sourcing
Identify trends in data and advise on identified external and internal risks
Requirements
Bachelor’s Degree or military experience
At least 3 years of experience in compliance, legal, risk management, or audit
At least 2 years of experience in the financial services industry
At least 1 year of experience supporting, partnering, and interacting with business clients
Existing familiarity or subject matter expertise in Regulation E and/or Americans with Disabilities Act
Benefits
Comprehensive, competitive, and inclusive health, financial and other benefits that support your total well-being
Performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI)
Job title
Compliance Advisory Specialist III, Principal Associate
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