Regulatory Complaints with Compliance, Fraud, Crime, and Banking

3 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

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