About This Role
This compliance analyst role focuses on managing consumer disputes and complaints, ensuring they are handled according to regulatory requirements and internal policies. The position involves reviewing and investigating complaints, providing timely responses, and identifying trends or systemic issues that could pose compliance risks. The analyst collaborates with various departments and contributes to root cause analysis, continuous improvement, and compliance reporting.
Responsibilities
- Review, investigate, and resolve consumer complaints and disputes in compliance with applicable laws and regulations
- Ensure timely and accurate responses to complaints received through various channels
- Analyze complaint data to identify trends, root causes, and potential compliance issues
- Support compliance monitoring and testing related to complaint handling
- Assist in internal and external compliance reports and audits
- Collaborate with business units and employees throughout the firm
- Contribute to the development of procedures and training to improve complaint resolution processes
- Stay informed of regulatory changes and industry's best practices affecting consumer complaint management
Requirements
- Strong analytical skills to assess complaint details, identify issues, and determine root causes
- Excellent written and verbal communication skills for drafting responses and communicating with stakeholders
- Detail-oriented with organizational skills to manage multiple files, meet deadlines, and prioritize tasks
- Problem-solving mindset with the ability to recommend and support effective corrective actions
- Able to manage shifting priorities in a fast-paced, result-driven environment
- Proficient in the Microsoft Suite of products (especially Excel)
- High school diploma (or equivalent) is required; degree preferred but not required
Important Details
- Physical requirements: prolonged periods of sitting at a desk and working on a computer
