The opportunity
The Sr. Associate, Compliance Advisory partners with Complaints, Product, Operations, and other business teams to provide compliance guidance as a second line of defense.
What you'll do
Advise the first line of defense on complaint-management requirements,: regulatory expectations, and industry best practices.
Review complaint-handling processes, procedures, controls, and documentation;: identify gaps and recommend remediation, maintaining ownership of the issue lifecycle from informing the business of identified gaps and recommendations through completed remediation and implementation.
Recommend and implement process improvements that balance regulatory: requirements with innovative, member-friendly solutions.
Demonstrate knowledge of and apply consumer financial regulations—including: Regulations Z, E, and DD, UDAAP, NACHA, VISA Operating Standards, and applicable state requirements—through compliance advisory work and day-to-day responsibilities.
Support operational teams in investigating and resolving consumer complaints: while analyzing trends and potential member impact.
Perform oversight and monitoring to promote timely, accurate, and appropriate complaint resolution.
What they're looking for
- Develop and refine complaint procedures, guidance, training materials, and educational resources.
- Assist with responses to sensitive and regulatory complaints and inquiries.
- Ensure complaint-related work, processes, procedures, and guidance align with: all applicable requirements of the Complaints Policy.
- Support regulatory, bank partner, and internal audit readiness by collecting,: organizing, and validating requested documentation and helping ensure complaint processes and records are complete and current.
