Complaints Compliance Regulatory Specialist

6 days ago

Charlotte, United States Central Point Partners Full time

Fintech Company
Charlotte NC
Hybrid- 3 days a week onsite
Needed ASAP
6 month contract +

Complaints Specialist

Needed for this role-
Regulatory and Non Regulatory Experience (FDIC, BBB, Reg E)
Legal and Compliance Knowledge
Research Knowledge
Crime/Fraud
Banking/Financial prior experience is a MUST
Good Written Communication is a MUST
Ability to investigate complaints with a sense of urgency and hand off as needed

This individual is responsible for complaint call intake, investigation, complaint closure, trends and reporting. This individual will be responsible for the integrity of the complaint handling process and ensuring that investigation conclusions are clear, supported, robust, timely and compliant. This individual will ensure that best practices in complaint investigation processes and associated root cause determination protocols and testing methodologies are carried out. Additionally, this individual must have strong analytical skills and effective communication across all levels of the company and demonstrate strong teamwork and collaboration across several functional areas to drive continuous improvements.
What You'll Do:
Design, implement, and maintain complaint handling and investigation processes and procedures. Formulate and recommend solutions in the application of complaint handling strategies
Lead the Complaint Handling team as a people manager, recruit, motivate the team and drive defined performance outcomes. Develop harmonized goals and objectives
Review and approve all complaints for content and closure
Generate reports on complaint data for routine analysis, and management review
Participate and support internal monitoring and regulatory inspections as needed
Track outstanding risks based on member issues and/or complaints
Evaluate current regulations, standards, and guidance impacting Credit Karma on an ongoing basis and implement solutions to ensure continued regulatory compliance
Use a risk-based approach to prioritize risks, identify avenues to address issues, and recommend effective controls to mitigate risks
Ability to work in a regulatory environment which is fast-paced and deadline driven
Strong business judgment and decision-making in situations involving risk to our members and Credit Karma
Strong analytical, investigative methodology and problem-solving skills prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
Evaluate the complaints risk management process and make recommendations regarding the effectiveness of internal controls, policies, procedures, and systems of supervision
What's great about this role:
You'll get to be flexible and adaptable in handling change and understands how that change will impact the team as well as internal business partners.
You'll get to set up a regular process that reviews all potential adverse events for reportability
You'll own and lead investigation and root cause analysis efforts as needed
You'll work with Marketing, Product, MS, Legal, Compliance, etc. to establish and maintain feedback systems and processes that may be a complaint data source
Communicate complaint investigation findings to appropriate personnel and escalate to Senior Management on critical issues as necessary
You'll get to demonstrate initiative and creativity in problem solving

  • Complaints Compliance Regulatory Specialist

    1 week ago

    Charlotte, United States Central Point Partners Full time

    Fintech Company Charlotte NC Hybrid- 3 days a week onsite Needed ASAP 6 month contract + Complaints Specialist Needed for this role- Regulatory and Non Regulatory Experience (FDIC, BBB, Reg E) Legal and Compliance Knowledge Research Knowledge Crime/Fraud Banking/Financial prior experience is a MUST Good Written Communication is a MUST Ability to investigate...

  • Regulatory Complaints with Compliance, Fraud, Crime, and Banking

    2 weeks ago

    Charlotte, United States Central Point Partners Full time

    Fintech CompanyCharlotte NCHybrid- 3 days a week onsiteNeeded ASAP6 month contract +Complaints SpecialistNeeded for this role- Regulatory and Non Regulatory Experience (FDIC, BBB, Reg E)Legal and Compliance KnowledgeResearch KnowledgeCrime/FraudBanking/Financial prior experience is a MUSTGood Written Communication is a MUSTAbility to investigate complaints...

  • Regulatory Complaints with Compliance, Fraud, Crime, and Banking

    2 weeks ago

    Charlotte, United States Central Point Partners Full time

    Fintech CompanyCharlotte NCHybrid- 3 days a week onsiteNeeded ASAP6 month contract +Complaints SpecialistNeeded for this role- Regulatory and Non Regulatory Experience (FDIC, BBB, Reg E)Legal and Compliance KnowledgeResearch KnowledgeCrime/FraudBanking/Financial prior experience is a MUSTGood Written Communication is a MUSTAbility to investigate complaints...

  • Central Point Partners | Regulatory Complaints with Compliance, Fraud, Crime, and Banking | charlotte, nc

    2 weeks ago

    charlotte, United States Central Point Partners Full time

    Fintech CompanyCharlotte NCHybrid- 3 days a week onsiteNeeded ASAP6 month contract +Complaints SpecialistNeeded for this role- Regulatory and Non Regulatory Experience (FDIC, BBB, Reg E)Legal and Compliance KnowledgeResearch KnowledgeCrime/FraudBanking/Financial prior experience is a MUSTGood Written Communication is a MUSTAbility to investigate complaints...

  • Regulatory Compliance Specialist with Banking and Financial Expertise

    1 week ago

    Charlotte, North Carolina, United States Central Point Partners Full time

    Job Summary:We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Central Point Partners. This is an exciting opportunity to leverage your expertise in banking and financial regulations to drive compliance and risk management initiatives.About the Role:This role requires a deep understanding of regulatory requirements,...

  • Customer Complaint Resolution Specialist

    6 days ago

    Charlotte, North Carolina, United States Eliassen Group Full time

    About the RoleThis exciting opportunity is for a skilled Customer Complaint Resolution Specialist to join our team at Eliassen Group. Based in Charlotte, NC, this hybrid role offers a great work-life balance with 3 days of on-site work per week.Job SummaryWe are seeking an experienced professional to handle and resolve customer complaints, investigate root...

  • Regulatory Compliance Expert

    6 days ago

    Charlotte, North Carolina, United States destinationone Consulting Full time

    Company Overview:Destinationone Consulting is a recruitment agency specializing in diverse sectors, including CleanTech, Education and EdTech, Government (Municipal, State/Provincial, and Federal), Health and MedTech, Healthcare and Wellness, Legal, Not-For-Profit, and Public Accounting. We aim to build a robust talent pool for our recruiters to efficiently...

  • Financial Expert for Regulatory Compliance

    3 days ago

    Charlotte, North Carolina, United States destinationone Consulting Full time

    As a seasoned professional at destinationone Consulting, you will have the opportunity to specialize in technical accounting, ensuring compliance with regulatory standards across various sectors.About UsWe are a recruitment agency that excels in connecting job seekers with relevant opportunities. Our commitment to integrity, transparency, and innovation...

  • Director Regulatory Compliance

    3 weeks ago

    Charlotte, United States Zaddy Solutions Full time

    Zaddy Solutions is searching for a Director of Regulatory Compliance (NERC). This role can be onsite or remote.Key ResponsibilitiesOversee the performance and strategic direction of the NERC compliance program.Develop and implement tools, processes, and internal controls to ensure compliance with NERC GO/GOP and TO standards.Lead and manage a compliance team...

  • Director Regulatory Compliance

    2 weeks ago

    Charlotte, United States Zaddy Solutions Full time

    Zaddy Solutions is searching for a Director of Regulatory Compliance (NERC). This role can be onsite or remote.Key ResponsibilitiesOversee the performance and strategic direction of the NERC compliance program.Develop and implement tools, processes, and internal controls to ensure compliance with NERC GO/GOP and TO standards.Lead and manage a compliance team...

  • Healthcare Compliance Specialist

    1 week ago

    Charlotte, United States Carolina Digestive Health Associates Full time

    Job DescriptionJob Title: Healthcare Compliance SpecialistSummary We are looking for a dedicated Healthcare Compliance Specialist to join our team and ensure that our healthcare operations adhere to all relevant regulations and standards. The ideal candidate will have a strong understanding of healthcare laws, regulations, and guidelines, and will be...

  • Data Compliance Specialist

    6 days ago

    Charlotte, North Carolina, United States Apex Systems Full time

    About the RoleWe are seeking a skilled Data Compliance Specialist to join our team at Apex Systems, focused on HR analytics and compliance. As an EEO Compliance Data Specialist, you will play a pivotal role in ensuring our organization meets critical regulatory requirements with precision and impact.Responsibilities:You will assist in preparing essential...

  • Zaddy Solutions | Director Regulatory Compliance | charlotte, nc

    3 weeks ago

    charlotte, United States Zaddy Solutions Full time

    Zaddy Solutions is searching for a Director of Regulatory Compliance (NERC). This role can be onsite or remote.Key ResponsibilitiesOversee the performance and strategic direction of the NERC compliance program.Develop and implement tools, processes, and internal controls to ensure compliance with NERC GO/GOP and TO standards.Lead and manage a compliance team...

  • Zaddy Solutions | Director Regulatory Compliance | charlotte, nc

    2 weeks ago

    charlotte, United States Zaddy Solutions Full time

    Zaddy Solutions is searching for a Director of Regulatory Compliance (NERC). This role can be onsite or remote.Key ResponsibilitiesOversee the performance and strategic direction of the NERC compliance program.Develop and implement tools, processes, and internal controls to ensure compliance with NERC GO/GOP and TO standards.Lead and manage a compliance team...

  • Counterparty Risk Regulatory Reporting Specialist

    5 days ago

    Charlotte, North Carolina, United States AppleOne Full time

    About the RoleWe are seeking a highly skilled and detail-oriented professional to join our team as a Counterparty Risk Regulatory Reporting & Technology Infrastructure Specialist.Job Responsibilities Prepare, analyze, and deliver accurate and timely counterparty risk regulatory reports. Ensure compliance with all relevant regulatory requirements and...

  • Senior Broker Compliance Specialist

    4 days ago

    Charlotte, North Carolina, United States BIPello Full time

    BIP.Monticello Consulting is a leading provider of management consulting services to the financial services industry. With a strong focus on developing talent and building a world-class consulting toolkit, we are seeking a detail-oriented and motivated individual to join our team as a Senior Broker Compliance Specialist.We operate in a challenging...

  • Compliance Specialist

    3 days ago

    Charlotte, North Carolina, United States The GEO Group Full time

    About the RoleWe are seeking a highly skilled Compliance Specialist to join our team at The GEO Group, Inc.Job SummaryThis role is responsible for providing compliance oversight and management of our Day Reporting Centers and In-Custody operations in Reentry Services and BI's ISAP facilities divisions.Key ResponsibilitiesConduct on-site contract compliance...

  • Regulatory Reporting Specialist for Financial Institution

    7 days ago

    Charlotte, North Carolina, United States Axelon Full time

    OverviewAxelon is seeking a highly skilled Regulatory Reporting Specialist to join our team in Charlotte, NC. This is an immediate contract opportunity that requires experience in regulatory reporting.Job Description:This senior lead analyst role involves supporting and managing the accurate and timely preparation and submission of regulatory reports to...

  • Senior Compliance Analyst

    1 week ago

    Charlotte, United States Allspring Full time

    Elevate Your Career Work where your ideas have impactCOMPANY Allspring Global Investments™ is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to inspire a new era of investing that pursues both financial returns and positive...

  • Compliance Officer

    2 months ago

    Charlotte, United States Social Capital Resources Full time

    Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program. This role is critical in ensuring adherence to Client and SEC regulations, safeguarding the firm's reputation and mitigating compliance risks.Key Responsibilities:Regulatory Compliance: Ensure the firm complies...