Compliance

• Manage and take ownership of the compliance complaint program for all products.
• Ensures that all regulatory complaints are appropriately investigated and responded to timely.
• Reviews and delegates ownership of responding to regulatory customer complaints to a Compliance Complaint Specialist.
• Prepares monthly complaint reports along with executive summaries for all products and presents reports to bank partners and internal committees.
• Interfaces with business lines to identify issues and trends through regulatory complaints and work towards solutions.
• Interface with company partners on regulatory complaints, trends and remediation of identified compliance issues or risks.
• Assists business with operational compliance issues and questions and is the point person for Compliance with complaints.
• Actively manage a Compliant Specialist(s).
• Support the Deputy Chief Compliance Officer in interactions with senior management, partners, auditors, and examiners.
• Provide clear, candid, direct, and timely feedback across the organization regarding complaint related issues/trends.
• Maintain policies and procedures for all products for the Compliance Complaints Program.

Compliance Complaints Manager

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