Compliance Officer – Complaints Management

Compliance Officer – Complaints Management

Requirements

• Bachelor’s degree, CRCM a plus
• Minimum of 3 years of Compliance experience, complaints experience preferred with strong knowledge of applicable regulations, and a strong focus on risks and controls.
• Knowledge of internal controls, compliance testing and monitoring processes (including analytics), and applicable techniques for implementation of regulatory compliance requirements and compliance processes
• Demonstrated skill in effectively communicating (verbal and written) results to a diverse audience; ability to work with all levels of management with a focus on collaboration and relationship management.
• Must possess initiative, be a self-starter, ability to adapt quickly to change or shifting priorities, have a high attention to detail and accuracy and work in a fast-paced, changing environment
• Strong written and oral communications and interpersonal skills, ability to develop and maintain strong, collaborative relationships with all lines of defense.
• Ability to present arguments backed with detailed data analytical support; can highlight the rationale behind decisions. Tableau experience a plus.

Responsibilities

• Serve on a team that provides an independent Second Line of Defense approach to oversee the Complaints Program and evaluation by independently assessing risks and issues; engage with the lines of business to help identify risks, assist with development and execution, provide review and challenge on complaints, and advise on and monitor remediation activities.
• Assists with developing a bank-wide approach to overseeing the Complaints Program, which focuses on identifying, measuring, mitigating, monitoring, and reporting of Complaint Data.
• Utilize data analysis tools and techniques to analyze, quantify, and/or assess complaints and to evaluate controls to identify potential weaknesses and/or control gaps. Provide actionable insights to business partners.
• Remain current on developments in applicable laws, rules, standards, guidelines, and industry best practices.
• Maintain a sound understanding of business strategy, business processes and associated risks with respect to all business units.
• Assist with monitoring and recommend improvements to business processes, which are necessary to meet regulatory changes and further mitigate potential risk exposure to Key from complaints.
• Support the review and challenge of complaints, the new or revised policies procedures, processes, training program content, issues management, implementation of regulatory changes, executive and regulatory reporting routines, etc.
• Provide information for analysis and reporting on complaints, including risk metrics performance, control testing results, remediation plans and status, peer benchmarks, external events, and emerging risks.
• Assist with supporting the LOB on complaint-related regulatory exam and internal audit activities.
• Clearly document and communicate the results or conclusions from any complaint testing and monitoring performed and provide heightened awareness around significant risks and proactive identification, escalation, and remediation of control weaknesses or gap.
• Develop and maintain strong, collaborative relationships with all lines of business, mid to senior level management, other internal clients and peers, and Audit.

Preferred Qualifications

• Tableau experience a plus.