Overview

The Advisor, Compliance –Consumer Complaints will be responsible for reviewing and analyzing consumer complaints to ensure and support the company’s complaints program and compliance management system. The Advisor, Compliance will monitor consumer complaints activities to minimize the company’s exposure to risk. Activities may include quantitative analysis, risk identification and remediation. This position will advocate to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company complaints policy. Responsible for ensuring that the company’s complaint handling activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictions.

Key Responsibilities:

  • Work independently to conduct the investigation of consumer complaints for issues, trends, and resolution as outlined by the complaints policy
  • Analyze data and reports to identify compliance gaps related to operational processes
  • Analyze and fully understand issues presented complainants relative to compliance with various laws and regulations, ensure appropriate resolution through a review of written letters, and the materials needed to support investigation findings.
  • Maintain strong working knowledge of a variety of laws and regulations – including staying abreast of regulatory developments, emerging issues, and compliance trends – that have a significant impact on consumers.
  • Work cooperatively with first line of defense, as needed, to resolve consumer complaint related issues.
  • Monitor consumer complaint trends to proactively identify potential compliance risk and recommend changes to existing business.
  • Evaluates compliant related controls in place to ensure continuous compliance measures with laws, regulations and policies affecting the organization, recommends process improvements to management.
  • Assesses complaint related procedures and policies to ensure the business units are in compliance with standard applicable regulatory and policy requirements.

Position Requirements:

  • Education –
    • Bachelor’s Degree: Business, Finance or equivalent field.
    • Master’s Degree: Business, Finance or equivalent field. (Preferred)
  • Experience –
    • 5+ years Compliance, Legal, Regulatory, Financial Services or Consumer Complaints.
  • Skills & Abilities –
    • Practical knowledge of corporate regulatory requirements, and factors influencing the business in which the Corporation operates.
    • Ability to resolve complex situations with internal clients and regulators, while maintaining a professional presence.
    • Ability to effectively deal with senior management as well as, Federal/State and other Regulators
    • Ability to work cross-functionally as a team player.
    • The ideal candidate would have working knowledge of consumer protection laws and regulations. The ideal candidate would also have experience in a consumer financial services environment with specific experience with consumer lending regulations and guidance, including Dodd Frank and Consumer Complaints regulations
    • Participate in the execution and ongoing development of compliance management systems (CMS).
    • Proficient with the following Microsoft products; SharePoint, Excel, Word, Visio, PowerPoint, Project and Access.
    • Ability to influence others, including senior leadership.
    • Excellent verbal and written communication skills.
    • Strong project management skills.