Complaints Compliance Regulatory Specialist
15 hours ago
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
-
Charlotte, United States Central Point Partners Full timeFintech 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...
-
Charlotte, United States Central Point Partners Full timeFintech 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...
-
charlotte, United States Central Point Partners Full timeFintech 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...
-
Healthcare Compliance Specialist
14 hours ago
Charlotte, United States Carolina Digestive Health Associates Full timeJob 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...
-
Director Regulatory Compliance
1 week ago
Charlotte, United States Zaddy Solutions Full timeZaddy 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
1 week ago
Charlotte, United States Zaddy Solutions Full timeZaddy 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...
-
charlotte, United States Zaddy Solutions Full timeZaddy 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...
-
charlotte, United States Zaddy Solutions Full timeZaddy 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...
-
Senior Compliance Analyst
13 hours ago
Charlotte, United States Allspring Full timeElevate 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 timeOur 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...
-
Compliance Officer
2 months ago
Charlotte, United States Social Capital Resources Full timeOur 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...
-
Compliance Associate
1 week ago
Charlotte, United States JW Michaels & Co. Full timeHighly Regarded investment management firm is seeking a Compliance Associate to join their team. Responsibilities include but not limited to: Oversees the legal and compliance affairs of the Firm and the Funds it manages. This individual will support the compliance team on a rich variety of compliance related matters. Responsibilities will...
-
VP of Compliance
3 weeks ago
Charlotte, United States Altius Talent | Freight Forwarding Recruitment Full timePosition Summary:We are seeking an experienced Vice President of Compliance to lead our global compliance initiatives and ensure adherence to all applicable regulatory requirements. This senior leadership role will oversee the company’s compliance programs, policies, and practices, working closely with executive leadership to manage risk and maintain the...
-
VP of Compliance
3 weeks ago
charlotte, United States Altius Talent | Freight Forwarding Recruitment Full timePosition Summary:We are seeking an experienced Vice President of Compliance to lead our global compliance initiatives and ensure adherence to all applicable regulatory requirements. This senior leadership role will oversee the company’s compliance programs, policies, and practices, working closely with executive leadership to manage risk and maintain the...
-
VP of Compliance
3 weeks ago
Charlotte, United States Altius Talent | Freight Forwarding Recruitment Full timePosition Summary:We are seeking an experienced Vice President of Compliance to lead our global compliance initiatives and ensure adherence to all applicable regulatory requirements. This senior leadership role will oversee the company’s compliance programs, policies, and practices, working closely with executive leadership to manage risk and maintain the...
-
Compliance Associate
1 month ago
Charlotte, United States JW Michaels & Co. Full timeHighly regarded hedge fund is seeking a dynamic Compliance Associate to join their team in the Charlotte, NC office. They will oversee the legal and compliance affairs of the Firm and the Funds it manages. This individual will work collaboratively with the compliance team on a variety of compliance related matters.Responsibilities:Implementing Compliance...
-
Compliance Associate
4 weeks ago
charlotte, United States JW Michaels & Co. Full timeHighly regarded hedge fund is seeking a dynamic Compliance Associate to join their team in the Charlotte, NC office. They will oversee the legal and compliance affairs of the Firm and the Funds it manages. This individual will work collaboratively with the compliance team on a variety of compliance related matters.Responsibilities:Implementing Compliance...
-
Compliance Associate
1 month ago
Charlotte, United States JW Michaels & Co. Full timeHighly regarded hedge fund is seeking a dynamic Compliance Associate to join their team in the Charlotte, NC office. They will oversee the legal and compliance affairs of the Firm and the Funds it manages. This individual will work collaboratively with the compliance team on a variety of compliance related matters.Responsibilities:Implementing Compliance...
-
Compliance Associate
1 month ago
charlotte, United States JW Michaels & Co. Full timeHighly regarded hedge fund is seeking a dynamic Compliance Associate to join their team in the Charlotte, NC office. They will oversee the legal and compliance affairs of the Firm and the Funds it manages. This individual will work collaboratively with the compliance team on a variety of compliance related matters.Responsibilities:Implementing Compliance...
-
Senior Export Compliance Specialist
4 weeks ago
Charlotte, North Carolina, United States Pyramid Consulting, Inc Full timeJob Title: Senior Export Compliance SpecialistWe are seeking a Senior Export Compliance Specialist to join our team at Pyramid Consulting, Inc. in Charlotte, NC. This is a contract opportunity with a 6-month minimum commitment.Key Responsibilities:Support implementation and development of GTS in SAP.Perform unit, system, and integration testing for SAP/GTS...
